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Advisor at RBC CAPITAL MARKETS, LLC
SAN FRANCISCO, 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 |
|---|---|---|---|---|---|---|
| RBC CAPITAL MARKETS, LLC | National bd RIA | May 7, 2018 | n/a | yes | SAN FRANCISCO, CA|SAN FRANCISCO, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 5, 2009 | May 25, 2018 | no | SAN FRANCISCO, CA | Previous registration |
| CREDIT SUISSE SECURITIES (USA) LLC | Former SEC adviser | Jan 17, 2003 | Apr 23, 2009 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| PERSHING LLC | n/a | Aug 1, 2002 | Jan 17, 2003 | no | SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | RBC CAPITAL MARKETS, LLC | May 25, 2018 | May 7, 2018 | -18 | Firm change | Wirehouse to ibd |
| CREDIT SUISSE SECURITIES (USA) LLC | UBS FINANCIAL SERVICES INC. | Apr 23, 2009 | Mar 5, 2009 | -49 | Firm change after gap | Other |
| PERSHING LLC | CREDIT SUISSE SECURITIES (USA) LLC | Jan 17, 2003 | Jan 17, 2003 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:31194:CA:2018-05-15 | May 25, 2018 | May 7, 2018 | SAN FRANCISCO, CA | Firm change |