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Advisor at WELLS FARGO ADVISORS
SOLANA BEACH, CA | SAN DIEGO, 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 | Oct 4, 2021 | n/a | yes | SOLANA BEACH, CA|SAN DIEGO, CA | Current employment |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Oct 1, 2012 | Sep 2, 2021 | no | PALM SPRINGS, CA|PALM SPRINGS, CA|LA QUINTA, CA|YUCCA VALLEY, CA|BEAUMONT, CA|BANNING, CA|DESERT HOT SPRINGS, CA|SAN JACINTO, CA|SAN JACINTO, CA|HEMET, CA|SAN JACINTO, CA|SAN JACINTO, CA|SAN JACINTO, CA|BEAUMONT, CA|BANNING, CA|DESERT HOT SPRINGS, CA|LA QUINTA, CA|YUCCA VALLEY, CA|Del Mar, CA | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Jun 16, 2011 | Oct 1, 2012 | no | PALM SPRINGS, CA | Previous registration |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Sep 24, 2008 | Feb 19, 2010 | no | LA QUINTA, CA|LOS ANGELES, CA|LA QUINTA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J.P. MORGAN SECURITIES LLC | WELLS FARGO ADVISORS | Sep 2, 2021 | Oct 4, 2021 | 32 | Firm change | Wirehouse to wirehouse |
| CHASE INVESTMENT SERVICES CORP. | J.P. MORGAN SECURITIES LLC | Oct 1, 2012 | Oct 1, 2012 | 0 | Bulk transfer | Other |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | CHASE INVESTMENT SERVICES CORP. | Feb 19, 2010 | Jun 16, 2011 | 482 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 79:19616:CA:2021-08-13 | Sep 2, 2021 | Oct 4, 2021 | DEL MAR, CA | Firm change |