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Advisor at UBS FINANCIAL SERVICES INC.
New York, NY
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 |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | Wirehouse | Sep 28, 2021 | n/a | yes | New York, NY | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Sep 10, 2018 | Sep 17, 2021 | no | NEW YORK, NY | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jun 2, 2015 | Aug 21, 2018 | no | NEW YORK, NY|NEW YORK, NY|NEW YORK, NY | Previous registration |
| BARCLAYS CAPITAL INC. | Former SEC adviser | Mar 13, 2012 | Jun 18, 2015 | no | NEW YORK, NY | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | May 25, 2011 | Mar 9, 2012 | no | NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Sep 17, 2021 | Sep 28, 2021 | 11 | Firm change | Wirehouse to wirehouse |
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Aug 21, 2018 | Sep 10, 2018 | 20 | Firm change | Wirehouse to wirehouse |
| BARCLAYS CAPITAL INC. | UBS FINANCIAL SERVICES INC. | Jun 18, 2015 | Jun 2, 2015 | -16 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | BARCLAYS CAPITAL INC. | Mar 9, 2012 | Mar 13, 2012 | 4 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:8174:NY:2021-09-17 | Sep 17, 2021 | Sep 28, 2021 | NEW YORK, NY | Firm change |
| 19714:8174:NY:2015-06-11 | Jun 18, 2015 | Jun 2, 2015 | NEW YORK, NY | Firm change |