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Advisor at RAYMOND JAMES & ASSOCIATES, INC.
NEWPORT 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 |
|---|---|---|---|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | National bd RIA | Aug 16, 2023 | n/a | yes | NEWPORT BEACH, CA | Current employment |
| OPPENHEIMER & CO. INC. | Bd affiliated wealth | Sep 3, 2019 | Aug 18, 2023 | no | NEWPORT BEACH, CA | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Oct 1, 2012 | Sep 11, 2019 | no | FOUNTAIN VALLEY, CA | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Sep 23, 2009 | Oct 1, 2012 | no | HUNTINGTON BEACH, CA|FOUNTAIN VALLEY, CA | Previous registration |
| WELLS FARGO INVESTMENTS, LLC | n/a | Apr 28, 2006 | Sep 8, 2009 | no | PASADENA, CA|DIAMOND BAR, CA|TOLUCA LAKE, CA|NORTH HOLLYWOOD, CA | Previous registration |
| COMMONWEALTH FINANCIAL NETWORK | National bd RIA | Dec 15, 2004 | May 1, 2006 | no | HUNTINGTON BEACH, CA | Previous registration |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Sep 22, 2000 | Aug 30, 2004 | no | WHITTIER, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OPPENHEIMER & CO. INC. | RAYMOND JAMES & ASSOCIATES, INC. | Aug 18, 2023 | Aug 16, 2023 | -2 | Firm change | Ibd to ibd |
| J.P. MORGAN SECURITIES LLC | OPPENHEIMER & CO. INC. | Sep 11, 2019 | Sep 3, 2019 | -8 | Firm change | Wirehouse to ibd |
| CHASE INVESTMENT SERVICES CORP. | J.P. MORGAN SECURITIES LLC | Oct 1, 2012 | Oct 1, 2012 | 0 | Bulk transfer | Other |
| WELLS FARGO INVESTMENTS, LLC | CHASE INVESTMENT SERVICES CORP. | Sep 8, 2009 | Sep 23, 2009 | 15 | Firm change | Other |
| COMMONWEALTH FINANCIAL NETWORK | WELLS FARGO INVESTMENTS, LLC | May 1, 2006 | Apr 28, 2006 | -3 | Firm change | Other |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | COMMONWEALTH FINANCIAL NETWORK | Aug 30, 2004 | Dec 15, 2004 | 107 | Firm change | Other |