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Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Lodi, 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 FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | May 4, 2009 | n/a | yes | Lodi, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Aug 12, 2006 | May 13, 2009 | no | SACRAMENTO, CA|SACRAMENTO, CA | Previous registration |
| PIPER SANDLER & CO. | Institutional manager | Nov 30, 2005 | Aug 12, 2006 | no | SACRAMENTO, CA | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Mar 29, 2005 | Jun 16, 2005 | no | SACRAMENTO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | May 13, 2009 | May 4, 2009 | -9 | Firm change | Other |
| PIPER SANDLER & CO. | UBS FINANCIAL SERVICES INC. | Aug 12, 2006 | Aug 12, 2006 | 0 | Bulk transfer | Other |
| MORGAN STANLEY DW INC. | PIPER SANDLER & CO. | Jun 16, 2005 | Nov 30, 2005 | 167 | Firm change | Other |