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Advisor at FAIRWAY CAPITAL ADVISORS
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 |
|---|---|---|---|---|---|---|
| FAIRWAY CAPITAL ADVISORS | Former SEC adviser | Apr 2, 2024 | n/a | yes | Newport Beach, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jun 1, 2016 | Aug 10, 2021 | no | NEWPORT BEACH, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Nov 18, 2013 | Sep 8, 2015 | no | DELRAY BEACH, FL | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Dec 22, 2009 | Sep 30, 2013 | no | CHICAGO, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | FAIRWAY CAPITAL ADVISORS | Aug 10, 2021 | Apr 2, 2024 | 966 | Firm change after gap | Wirehouse to RIA |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Sep 8, 2015 | Jun 1, 2016 | 267 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:314892:CA:2021-08-10 | Aug 10, 2021 | Apr 2, 2024 | NEWPORT BEACH, CA | Firm change after gap |