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Advisor at RAYMOND JAMES & ASSOCIATES, INC.
Winston-Salem, NC
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 |
|---|---|---|---|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | National bd RIA | Sep 6, 2016 | n/a | yes | Winston-Salem, NC | Current employment |
| DEUTSCHE BANK SECURITIES INC. | No RAUM reported | Jul 29, 2011 | Sep 6, 2016 | no | WINSTON-SALEM, NC | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 23, 2009 | Aug 2, 2011 | no | WINSTON-SALEM, NC|WINSTON SALEM, NC|RALEIGH, NC | Previous registration |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Dec 1, 2006 | Oct 23, 2009 | no | WINSTON-SALEM, NC | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Jun 9, 2005 | Dec 6, 2006 | no | WINSTON-SALEM, NC|CLARK, NJ|WINSTON-SALEM, NC|WINSTON SALEM, NC | Previous registration |
| FIRST CITIZENS INVESTOR SERVICES, INC. | Bd affiliated wealth | Mar 11, 2003 | Jun 6, 2005 | no | GREENSBORO, NC | Previous registration |
| UVEST FINANCIAL SERVICES GROUP, INC. | n/a | Aug 20, 2002 | Mar 13, 2003 | no | CHARLOTTE, NC | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jun 25, 2002 | Aug 23, 2002 | no | SPARTANBURG, SC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| DEUTSCHE BANK SECURITIES INC. | RAYMOND JAMES & ASSOCIATES, INC. | Sep 6, 2016 | Sep 6, 2016 | 0 | Bulk transfer | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | DEUTSCHE BANK SECURITIES INC. | Aug 2, 2011 | Jul 29, 2011 | -4 | Firm change | Other |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |
| WELLS FARGO ADVISORS | BANC OF AMERICA INVESTMENT SERVICES, INC. | Dec 6, 2006 | Dec 1, 2006 | -5 | Firm change | Other |
| FIRST CITIZENS INVESTOR SERVICES, INC. | WELLS FARGO ADVISORS | Jun 6, 2005 | Jun 9, 2005 | 3 | Firm change | Other |
| UVEST FINANCIAL SERVICES GROUP, INC. | FIRST CITIZENS INVESTOR SERVICES, INC. | Mar 13, 2003 | Mar 11, 2003 | -2 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UVEST FINANCIAL SERVICES GROUP, INC. | Aug 23, 2002 | Aug 20, 2002 | -3 | Firm change | Other |