DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at UBS FINANCIAL SERVICES INC.
West Orange, NJ | WEEHAWKEN, NJ
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 |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | Wirehouse | Nov 13, 2014 | n/a | yes | West Orange, NJ|WEEHAWKEN, NJ | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Mar 3, 2008 | Oct 31, 2014 | no | SHORT HILLS, NJ|BLOOMFIELD, NJ|WHITE PLAINS, NY|NEW YORK, NY|NEW YORK, NY|SHORT HILLS, NJ | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | May 29, 2007 | Feb 27, 2008 | no | LONG ISLAND CITY, NY|NEW YORK, NY | Previous registration |
| CITICORP INVESTMENT SERVICES | n/a | Apr 3, 2007 | May 29, 2007 | no | NEW YORK, NY | Previous registration |
| HSBC SECURITIES (USA) INC. | Bd affiliated wealth | Jun 12, 2006 | Mar 19, 2007 | no | NEW YORK, NY|NEW YORK, NY | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Aug 9, 2004 | Nov 16, 2005 | no | NEW YORK CITY, NY | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 10, 2002 | Jul 1, 2004 | no | NEWARK, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | UBS FINANCIAL SERVICES INC. | Oct 31, 2014 | Nov 13, 2014 | 13 | Firm change | Wirehouse to wirehouse |
| CITIGROUP GLOBAL MARKETS INC. | WELLS FARGO ADVISORS | Feb 27, 2008 | Mar 3, 2008 | 5 | Firm change | Other |
| CITICORP INVESTMENT SERVICES | CITIGROUP GLOBAL MARKETS INC. | May 29, 2007 | May 29, 2007 | 0 | Bulk transfer | Other |
| HSBC SECURITIES (USA) INC. | CITICORP INVESTMENT SERVICES | Mar 19, 2007 | Apr 3, 2007 | 15 | Firm change | Other |
| CHASE INVESTMENT SERVICES CORP. | HSBC SECURITIES (USA) INC. | Nov 16, 2005 | Jun 12, 2006 | 208 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | CHASE INVESTMENT SERVICES CORP. | Jul 1, 2004 | Aug 9, 2004 | 39 | Firm change | Other |