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Advisor at WELLS FARGO ADVISORS
AUBURN, CA | ROSEVILLE, 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 | Apr 11, 2024 | n/a | yes | AUBURN, CA|ROSEVILLE, CA | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jul 19, 2023 | Apr 26, 2024 | no | SACRAMENTO, CA|SACRAMENTO, CA|SACRAMENTO, CA|ELK GROVE, CA|SACRAMENTO, CA|WOODLAND, CA|AUBURN, CA|FOLSOM, CA|ROSEVILLE, CA | Previous registration |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Former SEC adviser | Nov 4, 2014 | Jul 19, 2023 | no | SACRAMENTO, CA|SACRAMENTO, CA|SACRAMENTO, CA|SACRAMENTO, CA|WOODLAND, CA|ELK GROVE, CA|SACRAMENTO, CA|SACRAMENTO, CA|SACRAMENTO, CA|WOODLAND, CA|SACRAMENTO, CA|SACRAMENTO, CA|ELK GROVE, CA|OMAHA, NE | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | May 10, 2011 | Jan 30, 2013 | no | MILL VALLEY, CA|SAN RAFAEL, CA|TIBURON, CA|GREENBRAE, CA|MILL VALLEY, CA|SACRAMENTO, CA|GREENBRAE, CA|TIBURON, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Oct 11, 2007 | Apr 15, 2011 | no | SAN FRANCISCO, CA|WEEHAWKEN, NJ|SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | WELLS FARGO ADVISORS | Apr 26, 2024 | Apr 11, 2024 | -15 | Firm change | Ibd to wirehouse |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | LPL FINANCIAL LLC | Jul 19, 2023 | Jul 19, 2023 | 0 | Bulk transfer | Ibd to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Jan 30, 2013 | Nov 4, 2014 | 643 | Firm change after gap | Other |
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Apr 15, 2011 | May 10, 2011 | 25 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:19616:CA:2024-04-26 | Apr 26, 2024 | Apr 11, 2024 | WOODLAND, CA | Firm change |