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Reading the graph
Advisor at NORTHWEST ASSET MANAGEMENT
MERCER ISLAND, WA | Redmond, WA
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 |
|---|---|---|---|---|---|---|
| NORTHWEST ASSET MANAGEMENT | Independent wealth | Mar 1, 2010 | n/a | yes | MERCER ISLAND, WA|Redmond, WA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Aug 12, 2006 | Aug 29, 2008 | no | SEATTLE, WA | Previous registration |
| PIPER SANDLER & CO. | Institutional manager | Feb 23, 2004 | Aug 12, 2006 | no | SEATTLE, WA|MINNEAPOLIS, MN|SEATTLE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | NORTHWEST ASSET MANAGEMENT | Aug 29, 2008 | Mar 1, 2010 | 549 | Firm change after gap | Other |
| PIPER SANDLER & CO. | UBS FINANCIAL SERVICES INC. | Aug 12, 2006 | Aug 12, 2006 | 0 | Bulk transfer | Other |