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Advisor at CHARLES SCHWAB & CO., INC.
Greenwich, CT | Stamford, CT
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 |
|---|---|---|---|---|---|---|
| CHARLES SCHWAB & CO., INC. | National bd RIA | Dec 19, 2018 | n/a | yes | Stamford, CT|Greenwich, CT | Current employment |
| OSAIC INSTITUTIONS, INC. | Bd affiliated wealth | Mar 13, 2013 | Dec 6, 2018 | no | NORWALK, CT|RIDGEFIELD, CT|DARIEN, CT | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Oct 19, 2011 | Mar 6, 2013 | no | STAMFORD, CT|DARIEN, CT|NORWALK, CT|WHITE PLAINS, NY|NEW ROCHELLE, NY | Previous registration |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | Mar 16, 2010 | Oct 13, 2011 | no | RIDGEFIELD, CT | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | May 29, 2007 | Mar 29, 2010 | no | BEDFORD VILLAGE, NY|Yorktown Heights, NY|Mount Kisco, NY|NEW YORK, NY|Larchmont, NY | Previous registration |
| CITICORP INVESTMENT SERVICES | n/a | Oct 18, 2005 | May 29, 2007 | no | LARCHMONT, NY|LARCHMONT, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OSAIC INSTITUTIONS, INC. | CHARLES SCHWAB & CO., INC. | Dec 6, 2018 | Dec 19, 2018 | 13 | Firm change | Ibd to ibd |
| LPL FINANCIAL LLC | OSAIC INSTITUTIONS, INC. | Mar 6, 2013 | Mar 13, 2013 | 7 | Firm change | Other |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | LPL FINANCIAL LLC | Oct 13, 2011 | Oct 19, 2011 | 6 | Firm change | Other |
| CITIGROUP GLOBAL MARKETS INC. | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Mar 29, 2010 | Mar 16, 2010 | -13 | Firm change | Other |
| CITICORP INVESTMENT SERVICES | CITIGROUP GLOBAL MARKETS INC. | May 29, 2007 | May 29, 2007 | 0 | Bulk transfer | Other |