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Advisor at ADVISOR RESOURCE COUNCIL
DALLAS, TX | Oxford, MS
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 |
|---|---|---|---|---|---|---|
| ADVISOR RESOURCE COUNCIL | Independent wealth | Mar 31, 2023 | n/a | yes | DALLAS, TX|Oxford, MS | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Jan 21, 2014 | Mar 31, 2023 | no | OXFORD, MS | Previous registration |
| CETERA INVESTMENT SERVICES LLC | Former SEC adviser | Apr 16, 2013 | Jan 21, 2014 | no | OXFORD, MS|ST CLOUD, MN|RIDGELAND, MS | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Sep 21, 2011 | Mar 6, 2013 | no | MEMPHIS, TN | Previous registration |
| MORGAN STANLEY | Wirehouse | Feb 2, 2011 | Sep 7, 2011 | no | Memphis, TN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | ADVISOR RESOURCE COUNCIL | Mar 31, 2023 | Mar 31, 2023 | 0 | Firm change | Ibd to RIA |
| CETERA INVESTMENT SERVICES LLC | CETERA INVESTMENT ADVISERS LLC | Jan 21, 2014 | Jan 21, 2014 | 0 | Bulk transfer | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | CETERA INVESTMENT SERVICES LLC | Mar 6, 2013 | Apr 16, 2013 | 41 | Firm change | Other |
| MORGAN STANLEY | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Sep 7, 2011 | Sep 21, 2011 | 14 | Firm change | Wirehouse to wirehouse |