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Advisor at RBC SECURITIES, INC.
NEW YORK, NY | IRVINE, 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 |
|---|---|---|---|---|---|---|
| RBC SECURITIES, INC. | Bd affiliated wealth | Mar 2, 2026 | n/a | yes | IRVINE, CA|NEW YORK, NY|IRVINE, CA | Current employment |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Sep 16, 2024 | Feb 24, 2026 | no | Costa Mesa, CA|IRVINE, CA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jul 19, 2023 | Sep 17, 2024 | no | HUNTINGTON BEACH, CA|NEWPORT BEACH, CA|LONG BEACH, CA|LA HABRA, CA|BREA, CA|ANAHEIM, CA|STANTON, CA | Previous registration |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Former SEC adviser | Oct 18, 2018 | Jul 19, 2023 | no | NEWPORT BEACH, CA|STANTON, CA|LONG BEACH, CA|HUNTINGTON BEACH, CA|ANAHEIM, CA|BREA, CA|SAN DIEGO, CA|SANTA ANA, CA|TUSTIN, CA|GARDEN GROVE, CA|LA HABRA, CA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Jan 3, 2011 | Oct 19, 2018 | no | IRVINE, CA|IRVINE, CA|IRVINE, CA | Previous registration |
| WELLS FARGO INVESTMENTS, LLC | n/a | Aug 18, 2008 | Jan 3, 2011 | no | MISSION VIEJO, CA|MISSION VIEJO, CA|IRVINE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | RBC SECURITIES, INC. | Feb 24, 2026 | Mar 2, 2026 | 6 | Firm change | Ibd to ibd |
| LPL FINANCIAL LLC | AMERIPRISE FINANCIAL SERVICES, LLC | Sep 17, 2024 | Sep 16, 2024 | -1 | Firm change | Ibd to ibd |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | LPL FINANCIAL LLC | Jul 19, 2023 | Jul 19, 2023 | 0 | Bulk transfer | Ibd to ibd |
| WELLS FARGO ADVISORS | BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Oct 19, 2018 | Oct 18, 2018 | -1 | Firm change | Wirehouse to ibd |
| WELLS FARGO INVESTMENTS, LLC | WELLS FARGO ADVISORS | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |