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Advisor at DIVERSIFY ADVISORY SERVICES, LLC
SOUTH JORDAN, UT | 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 |
|---|---|---|---|---|---|---|
| DIVERSIFY ADVISORY SERVICES, LLC | Bd affiliated wealth | Dec 7, 2023 | n/a | yes | Irvine, CA|SOUTH JORDAN, UT | Current employment |
| DFPG INVESTMENTS, LLC | Former SEC adviser | Nov 30, 2022 | Jan 2, 2024 | no | Irvine, CA|SANDY, UT | Previous registration |
| SUREVEST PRIVATE WEALTH | Former SEC adviser | Jan 16, 2020 | Dec 12, 2022 | no | Long BEach, CA|LOS ANGELES, CA | Previous registration |
| SUREVEST WEALTH MANAGEMENT | Former SEC adviser | Jan 30, 2018 | Feb 7, 2020 | no | Newport Beach, CA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Sep 16, 2016 | Aug 7, 2017 | no | NEWPORT BEACH, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Oct 1, 2008 | Sep 30, 2016 | no | NEWPORT BEACH, CA|SAN DIEGO, CA|WEEHAWKEN, NJ|CARLSBAD, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Aug 8, 2008 | Aug 29, 2008 | no | NEWPORT BEACH, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| DFPG INVESTMENTS, LLC | DIVERSIFY ADVISORY SERVICES, LLC | Jan 2, 2024 | Dec 7, 2023 | -26 | Firm change | RIA to ibd |
| SUREVEST PRIVATE WEALTH | DFPG INVESTMENTS, LLC | Dec 12, 2022 | Nov 30, 2022 | -12 | Firm change | RIA to RIA |
| SUREVEST WEALTH MANAGEMENT | SUREVEST PRIVATE WEALTH | Feb 7, 2020 | Jan 16, 2020 | -22 | Firm change | RIA to RIA |
| WELLS FARGO ADVISORS | SUREVEST WEALTH MANAGEMENT | Aug 7, 2017 | Jan 30, 2018 | 176 | Firm change | Wirehouse to RIA |
| UBS FINANCIAL SERVICES INC. | WELLS FARGO ADVISORS | Sep 30, 2016 | Sep 16, 2016 | -14 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 155576:326060:UT:2023-12-31 | Jan 2, 2024 | Dec 7, 2023 | SANDY, UT | Firm change |
| 306872:155576:CA:2022-12-12 | Dec 12, 2022 | Nov 30, 2022 | LONG BEACH, CA | Firm change |
| 122369:306872:CA:2020-02-07 | Feb 7, 2020 | Jan 16, 2020 | NEWPORT BEACH, CA | Firm change |
| 8174:11025:CA:2016-09-30 | Sep 30, 2016 | Sep 16, 2016 | CARLSBAD, CA | Firm change |