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Advisor at WELLS FARGO ADVISORS
SANTA BARBARA, 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 |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | Wirehouse | Mar 22, 2019 | n/a | yes | SANTA BARBARA, CA|SANTA BARBARA, CA | Current employment |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Apr 2, 2019 | no | Santa Barbara, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Jul 3, 2008 | Jun 1, 2009 | no | SANTA BARBARA, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Nov 1, 1990 | Jul 24, 2008 | no | SANTA BARBARA, CA|SANTA BARBARA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | WELLS FARGO ADVISORS | Apr 2, 2019 | Mar 22, 2019 | -11 | Firm change | Wirehouse to wirehouse |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| UBS FINANCIAL SERVICES INC. | CITIGROUP GLOBAL MARKETS INC. | Jul 24, 2008 | Jul 3, 2008 | -21 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 149777:19616:CA:2019-04-01 | Apr 2, 2019 | Mar 22, 2019 | SANTA BARBARA, CA | Firm change |