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Advisor at WELLS FARGO ADVISORS
AGOURA HILLS, 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 |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | Wirehouse | Jun 3, 2016 | n/a | yes | AGOURA HILLS, CA | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 24, 2009 | Jun 6, 2016 | no | WESTLAKE VILLAGE, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jun 19, 2008 | May 5, 2009 | no | WESTLAKE VILLAGE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | WELLS FARGO ADVISORS | Jun 6, 2016 | Jun 3, 2016 | -3 | Firm change | Wirehouse to wirehouse |
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | May 5, 2009 | Apr 24, 2009 | -11 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:11025:CA:2016-05-10 | Jun 6, 2016 | Jun 3, 2016 | WESTLAKE VILLAGE, CA | Firm change |