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Advisor at AMERIPRISE FINANCIAL SERVICES, LLC
Old Saybrook, CT
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 |
|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Oct 20, 2017 | n/a | yes | Old Saybrook, CT | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 20, 2008 | Oct 31, 2017 | no | NEW LONDON, CT | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Jan 1, 2008 | Mar 25, 2008 | no | MADISON, CT | Previous registration |
| A. G. EDWARDS & SONS, INC. | n/a | Jun 18, 1999 | Jan 1, 2008 | no | ST. LOUIS, MO|MADISON, CT|ESSEX, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | AMERIPRISE FINANCIAL SERVICES, LLC | Oct 31, 2017 | Oct 20, 2017 | -11 | Firm change | Wirehouse to ibd |
| WELLS FARGO ADVISORS | UBS FINANCIAL SERVICES INC. | Mar 25, 2008 | Mar 20, 2008 | -5 | Firm change | Wirehouse to wirehouse |
| A. G. EDWARDS & SONS, INC. | WELLS FARGO ADVISORS | Jan 1, 2008 | Jan 1, 2008 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:6363:CT:2017-10-31 | Oct 31, 2017 | Oct 20, 2017 | NEW LONDON, CT | Firm change |