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Advisor at CORIENT
Chicago, IL
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 |
|---|---|---|---|---|---|---|
| Corient | Independent wealth | Dec 22, 2022 | n/a | yes | Chicago, IL | Current employment |
| GOFEN AND GLOSSBERG, L.L.C. | Former SEC adviser | Oct 26, 2021 | Mar 31, 2023 | no | CHICAGO, IL | Previous registration |
| CREDIT SUISSE SECURITIES (USA) LLC | Former SEC adviser | Jul 21, 2003 | Feb 20, 2009 | no | CHICAGO, IL|CHICAGO, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| GOFEN AND GLOSSBERG, L.L.C. | Corient | Mar 31, 2023 | Dec 22, 2022 | -99 | Firm change after gap | RIA to RIA |
| CREDIT SUISSE SECURITIES (USA) LLC | GOFEN AND GLOSSBERG, L.L.C. | Feb 20, 2009 | Oct 26, 2021 | 4,631 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 107859:319448:IL:2023-03-31 | Mar 31, 2023 | Dec 22, 2022 | CHICAGO, IL | Firm change after gap |