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Advisor at MORGAN STANLEY
Westlake Village, 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 |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | Wirehouse | Oct 13, 2021 | n/a | yes | Westlake Village, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Feb 25, 2021 | Apr 15, 2021 | no | WESTLAKE VILLAGE, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jan 5, 2016 | Feb 8, 2021 | no | WALNUT CREEK, CA|SAN FRANCISCO, CA|LOS ANGELES, CA|BEVERLY HILLS, CA|NEW YORK, NY|BEVERLY HILLS, CA | Previous registration |
| CREDIT SUISSE SECURITIES (USA) LLC | Former SEC adviser | Nov 19, 2014 | Aug 10, 2015 | no | SAN FRANCISCO, CA | Previous registration |
| U.S. BANCORP ADVISORS, LLC | Bd affiliated wealth | Jun 23, 2014 | Oct 23, 2014 | no | San Francisco, CA|SANTA BARBARA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | MORGAN STANLEY | Apr 15, 2021 | Oct 13, 2021 | 181 | Firm change | Wirehouse to wirehouse |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Feb 8, 2021 | Feb 25, 2021 | 17 | Firm change | Wirehouse to wirehouse |
| CREDIT SUISSE SECURITIES (USA) LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Aug 10, 2015 | Jan 5, 2016 | 148 | Firm change | Other |
| U.S. BANCORP ADVISORS, LLC | CREDIT SUISSE SECURITIES (USA) LLC | Oct 23, 2014 | Nov 19, 2014 | 27 | Firm change | Other |