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Advisor at ARAX ADVISORY PARTNERS
LOUDON, TN | NEW YORK, NY | NEWPORT BEACH, 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 |
|---|---|---|---|---|---|---|
| ARAX ADVISORY PARTNERS | Bd affiliated wealth | Sep 15, 2026 | n/a | yes | LOUDON, TN|NEW YORK, NY | Current employment |
| SUMMIT TRAIL ADVISORS, LLC | Independent wealth | Aug 19, 2024 | n/a | yes | LOUDON, TN|NEW YORK, NY|NEWPORT BEACH, CA | Current employment |
| SUMMIT TRAIL ADVISORS, LLC | Independent wealth | Aug 19, 2024 | n/a | yes | NEWPORT BEACH, CA|LOUDON, TN|NEW YORK, NY | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jul 19, 2023 | Sep 3, 2024 | no | NEWPORT BEACH, CA | Previous registration |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Former SEC adviser | Mar 24, 2022 | Jul 19, 2023 | no | LOS ANGELES, CA|LOS ANGELES, CA|NEWPORT BEACH, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Nov 21, 2013 | Jun 8, 2020 | no | COSTA MESA, CA|LOS ANGELES, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 23, 2009 | Oct 14, 2013 | no | NEWPORT BEACH, CA|NEWPORT BEACH, CA | Previous registration |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Mar 12, 2008 | Oct 23, 2009 | no | COSTA MESA, CA|NEWPORT BEACH, CA | Previous registration |
| CHARLES SCHWAB & CO., INC. | National bd RIA | Oct 25, 2001 | Oct 21, 2004 | no | EL SEGUNDO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | SUMMIT TRAIL ADVISORS, LLC | Sep 3, 2024 | Aug 19, 2024 | -15 | Firm change | Ibd to RIA |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | LPL FINANCIAL LLC | Jul 19, 2023 | Jul 19, 2023 | 0 | Bulk transfer | Ibd to ibd |
| CITIGROUP GLOBAL MARKETS INC. | BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Jun 8, 2020 | Mar 24, 2022 | 654 | Firm change after gap | Ibd to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | CITIGROUP GLOBAL MARKETS INC. | Oct 14, 2013 | Nov 21, 2013 | 38 | Firm change | Other |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |
| CHARLES SCHWAB & CO., INC. | BANC OF AMERICA INVESTMENT SERVICES, INC. | Oct 21, 2004 | Mar 12, 2008 | 1,238 | Firm change after gap | Other |