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Advisor at MARINER
Boston, MA | OVERLAND PARK,, KS
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 |
|---|---|---|---|---|---|---|
| Mariner | Independent wealth | Jul 18, 2011 | n/a | yes | OVERLAND PARK,, KS|Boston, MA | Current employment |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Mar 25, 2017 | Nov 1, 2021 | no | BOSTON, MA | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Jan 12, 2015 | Mar 25, 2017 | no | BOSTON, MA | Previous registration |
| NEW ENGLAND SECURITIES CORPORATION | Former SEC adviser | Apr 14, 2010 | Dec 31, 2014 | no | BOSTON, MA|WELLESLEY, MA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Oct 17, 2005 | Oct 28, 2009 | no | BOSTON, MA|WEEHAWKEN, NJ|BETHESDA, MD|BETHESDA, MD | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MML INVESTORS SERVICES, LLC | n/a | Nov 1, 2021 | n/a | n/a | Departure no registered destination | Departure |
| MSI FINANCIAL SERVICES, INC. | MML INVESTORS SERVICES, LLC | Mar 25, 2017 | Mar 25, 2017 | 0 | Bulk transfer | Other |
| NEW ENGLAND SECURITIES CORPORATION | Mariner | Dec 31, 2014 | Jul 18, 2011 | -1,262 | Firm change after gap | Other |
| UBS FINANCIAL SERVICES INC. | NEW ENGLAND SECURITIES CORPORATION | Oct 28, 2009 | Apr 14, 2010 | 168 | Firm change | Other |