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Advisor at SFE INVESTMENT COUNSEL INC.
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 |
|---|---|---|---|---|---|---|
| SFE INVESTMENT COUNSEL INC. | Independent wealth | May 27, 2020 | n/a | yes | Los Angeles, CA | Current employment |
| D.A. DAVIDSON & CO. | Independent wealth | Nov 25, 2013 | May 1, 2020 | no | SANTA BARBARA, CA | Previous registration |
| CROWELL WEEDON & CO. | Former SEC adviser | Nov 4, 2013 | Nov 25, 2013 | no | SANTA BARBARA, CA | Previous registration |
| CROWELL, WEEDON & CO. | Former SEC adviser | Aug 20, 2010 | Nov 4, 2013 | no | SANTA BARBARA, CA | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Aug 31, 2010 | no | Santa Barbara, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Apr 29, 2005 | Jun 1, 2009 | no | SANTA BARBARA, CA|SANTA BARBARA, CA | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Jul 8, 1997 | Apr 29, 2005 | no | SANTA BARBAR, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| D.A. DAVIDSON & CO. | SFE INVESTMENT COUNSEL INC. | May 1, 2020 | May 27, 2020 | 26 | Firm change | RIA to RIA |
| CROWELL WEEDON & CO. | D.A. DAVIDSON & CO. | Nov 25, 2013 | Nov 25, 2013 | 0 | Bulk transfer | Other |
| CROWELL, WEEDON & CO. | CROWELL WEEDON & CO. | Nov 4, 2013 | Nov 4, 2013 | 0 | Bulk transfer | Other |
| MORGAN STANLEY | CROWELL, WEEDON & CO. | Aug 31, 2010 | Aug 20, 2010 | -11 | Firm change | Other |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| MORGAN STANLEY DW INC. | CITIGROUP GLOBAL MARKETS INC. | Apr 29, 2005 | Apr 29, 2005 | 0 | Firm change | Other |