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Advisor at KESTRA PRIVATE WEALTH SERVICES, LLC
AUSTIN, TX
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 |
|---|---|---|---|---|---|---|
| KESTRA PRIVATE WEALTH SERVICES, LLC | Bd affiliated wealth | Jan 3, 2022 | n/a | yes | AUSTIN, TX|AUSTIN, TX | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Nov 1, 2010 | Aug 8, 2011 | no | SAN DIEGO, CA|SAN DIEGO, CA|WEEHAWKEN, NJ|SAN DIEGO, CA|LA JOLLA, CA | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Sep 24, 2010 | no | SAN DIEGO, CA|CARLSBAD, CA | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Apr 2, 2007 | Jun 1, 2009 | no | LA JOLLA, CA|SAN DIEGO, CA|LA JOLLA, CA | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Feb 26, 2007 | Apr 2, 2007 | no | LAJOLLA, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jan 11, 1995 | Feb 27, 2007 | no | SAN DIEGO, CA|LA JOLLA, CA|SAN DIEGO, CA|LA JOLLA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | KESTRA PRIVATE WEALTH SERVICES, LLC | Aug 8, 2011 | Jan 3, 2022 | 3,801 | Firm change after gap | Wirehouse to ibd |
| MORGAN STANLEY | UBS FINANCIAL SERVICES INC. | Sep 24, 2010 | Nov 1, 2010 | 38 | Firm change | Wirehouse to wirehouse |
| MORGAN STANLEY & CO. LLC | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| MORGAN STANLEY DW INC. | MORGAN STANLEY & CO. LLC | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MORGAN STANLEY DW INC. | Feb 27, 2007 | Feb 26, 2007 | -1 | Firm change | Other |