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Advisor at WELLS FARGO ADVISORS
PALO ALTO, CA | MENLO PARK, CA | LOS ANGELES, 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 |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | Wirehouse | Dec 18, 2015 | n/a | yes | PALO ALTO, CA|MENLO PARK, CA|LOS ANGELES, CA | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 23, 2009 | Dec 21, 2015 | no | TORRANCE, CA|ROLLING HILLS ESTATES, CA|REDONDO BEACH, CA|PALOS VERDES ESTATES, CA|EL SEGUNDO, CA|LOS ANGELES, CA | Previous registration |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Aug 30, 2004 | Oct 23, 2009 | no | ROLLING HILLS ESTATES, CA|REDONDO BEACH, CA|TORRANCE, CA|PALOS VERDES ESTATES, CA|LOS ANGELES, CA|PALOS VERDES ESTATES, CA | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Jan 3, 2004 | Aug 20, 2004 | no | RICHARDSON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | WELLS FARGO ADVISORS | Dec 21, 2015 | Dec 18, 2015 | -3 | Firm change | Wirehouse to wirehouse |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |
| AMERIPRISE FINANCIAL SERVICES, LLC | BANC OF AMERICA INVESTMENT SERVICES, INC. | Aug 20, 2004 | Aug 30, 2004 | 10 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:19616:CA:2015-12-02 | Dec 21, 2015 | Dec 18, 2015 | LOS ANGELES, CA | Firm change |