DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at CERTUITY, LLC
NORTH PALM BEACH, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| CERTUITY, LLC | Independent wealth | Jun 5, 2023 | n/a | yes | NORTH PALM BEACH, FL | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jun 18, 2019 | Jul 15, 2021 | no | SAN FRANCISCO, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Apr 18, 2017 | Jun 20, 2019 | no | SAN FRANCISCO, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Aug 16, 2012 | Apr 18, 2017 | no | NEW YORK, NY|PALO ALTO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | CERTUITY, LLC | Jul 15, 2021 | Jun 5, 2023 | 690 | Firm change after gap | Wirehouse to RIA |
| CITIGROUP GLOBAL MARKETS INC. | UBS FINANCIAL SERVICES INC. | Jun 20, 2019 | Jun 18, 2019 | -2 | Firm change | Ibd to wirehouse |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | CITIGROUP GLOBAL MARKETS INC. | Apr 18, 2017 | Apr 18, 2017 | 0 | Firm change | Other |