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Advisor at RAYMOND JAMES & ASSOCIATES, INC.
DENVER, CO
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 |
|---|---|---|---|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | National bd RIA | Apr 21, 2011 | n/a | yes | DENVER, CO | Current employment |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Apr 29, 2011 | no | GREENWOOD VILLAGE, CO | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Apr 2, 2007 | Jun 1, 2009 | no | CENTENNIAL, CO | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Mar 10, 2006 | Apr 2, 2007 | no | CENTENNIAL, CO | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jan 1, 1999 | Mar 29, 2006 | no | DENVER, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | RAYMOND JAMES & ASSOCIATES, INC. | Apr 29, 2011 | Apr 21, 2011 | -8 | Firm change | Wirehouse to ibd |
| MORGAN STANLEY & CO. LLC | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| MORGAN STANLEY DW INC. | MORGAN STANLEY & CO. LLC | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |
| UBS FINANCIAL SERVICES INC. | MORGAN STANLEY DW INC. | Mar 29, 2006 | Mar 10, 2006 | -19 | Firm change | Other |