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Advisor at SWBC INVESTMENT ADVISORY SERVICES LLC
AUSTIN, TX
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 |
|---|---|---|---|---|---|---|
| SWBC INVESTMENT ADVISORY SERVICES LLC | No RAUM reported | Dec 21, 2012 | n/a | yes | AUSTIN, TX | Current employment |
| PRICE WEALTH, LLC | Former SEC adviser | Apr 5, 2011 | Oct 3, 2012 | no | AUSTIN, TX | Previous registration |
| NFP ADVISOR SERVICES, LLC | Former SEC adviser | Sep 13, 2004 | Mar 28, 2011 | no | AUSTIN, TX|AUSTIN, TX | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jun 13, 2002 | Aug 28, 2003 | no | HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PRICE WEALTH, LLC | SWBC INVESTMENT ADVISORY SERVICES LLC | Oct 3, 2012 | Dec 21, 2012 | 79 | Firm change | Other |
| NFP ADVISOR SERVICES, LLC | PRICE WEALTH, LLC | Mar 28, 2011 | Apr 5, 2011 | 8 | Firm change | Other |
| UBS FINANCIAL SERVICES INC. | NFP ADVISOR SERVICES, LLC | Aug 28, 2003 | Sep 13, 2004 | 382 | Firm change | Other |