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Advisor at PRIME CAPITAL FINANCIAL
OVERLAND PARK, KS | Austin, TX
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 |
|---|---|---|---|---|---|---|
| PRIME CAPITAL FINANCIAL | Mixed wealth | Mar 3, 2025 | n/a | yes | Austin, TX|OVERLAND PARK, KS | Current employment |
| SINECERA CAPITAL, LLC | Former SEC adviser | Jun 28, 2019 | Mar 27, 2025 | no | AUSTIN, TX | Previous registration |
| NORTHERN TRUST SECURITIES, INC | Bd affiliated wealth | Feb 9, 2015 | Jun 4, 2019 | no | AUSTIN, TX | Previous registration |
| MASLOW WEALTH ADVISORS | Independent wealth | Sep 12, 2011 | Sep 9, 2014 | no | AUSTIN, TX | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Aug 11, 2008 | Aug 22, 2011 | no | AUSTIN, TX|AUSTIN, TX | Previous registration |
| EQUITABLE ADVISORS, LLC | National bd RIA | Jul 11, 2006 | Aug 13, 2008 | no | AUSTIN, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SINECERA CAPITAL, LLC | PRIME CAPITAL FINANCIAL | Mar 27, 2025 | Mar 3, 2025 | -24 | Firm change | RIA to RIA |
| NORTHERN TRUST SECURITIES, INC | SINECERA CAPITAL, LLC | Jun 4, 2019 | Jun 28, 2019 | 24 | Firm change | Ibd to new firm |
| MASLOW WEALTH ADVISORS | NORTHERN TRUST SECURITIES, INC | Sep 9, 2014 | Feb 9, 2015 | 153 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MASLOW WEALTH ADVISORS | Aug 22, 2011 | Sep 12, 2011 | 21 | Firm change | Other |
| EQUITABLE ADVISORS, LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Aug 13, 2008 | Aug 11, 2008 | -2 | Firm change | Ibd to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 298872:288712:TX:2025-03-27 | Mar 27, 2025 | Mar 3, 2025 | AUSTIN, TX | Firm change |