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Advisor at WELLS FARGO ADVISORS
LAGUNA BEACH, CA
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 |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | Wirehouse | Jan 30, 2015 | n/a | yes | LAGUNA BEACH, CA|LAGUNA BEACH, CA | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | May 20, 2009 | Feb 3, 2015 | no | LAGUNA BEACH, CA|SAN FRANCISCO, CA|NEWPORT BEACH, CA|NEWPORT BEACH, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Oct 25, 2002 | Jan 14, 2008 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| A. G. EDWARDS & SONS, INC. | n/a | Mar 29, 2001 | Nov 12, 2002 | no | SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | WELLS FARGO ADVISORS | Feb 3, 2015 | Jan 30, 2015 | -4 | Firm change | Wirehouse to wirehouse |
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jan 14, 2008 | May 20, 2009 | 492 | Firm change after gap | Wirehouse to wirehouse |
| A. G. EDWARDS & SONS, INC. | UBS FINANCIAL SERVICES INC. | Nov 12, 2002 | Oct 25, 2002 | -18 | Firm change | Other |