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Advisor at KLEINFELDER CAPITAL, INC.
CINCINNATI, OH
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 |
|---|---|---|---|---|---|---|
| KLEINFELDER CAPITAL, INC. | Independent wealth | Sep 5, 2017 | n/a | yes | CINCINNATI, OH | Current employment |
| MORGAN STANLEY | Wirehouse | Jun 2, 2009 | Sep 6, 2017 | no | CINCINNATO, OH|PURCHASE, NY|Cincinnati, OH | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | May 28, 2009 | Jul 23, 2009 | no | CINCINNATI, OH|NEW YORK, NY | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 29, 2001 | Jun 4, 2009 | no | CINCINNATI, OH|CINCINNATI, OH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | KLEINFELDER CAPITAL, INC. | Sep 6, 2017 | Sep 5, 2017 | -1 | Firm change | Wirehouse to new firm |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Jul 23, 2009 | Jun 2, 2009 | -51 | Bulk transfer | Other |
| UBS FINANCIAL SERVICES INC. | CITIGROUP GLOBAL MARKETS INC. | Jun 4, 2009 | May 28, 2009 | -7 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 149777:289345:OH:2017-09-06 | Sep 6, 2017 | Sep 5, 2017 | CINCINNATI, OH | Firm change |