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Advisor at WELLS FARGO ADVISORS
ROSEVILLE, 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 |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | Wirehouse | Dec 17, 2015 | n/a | yes | ROSEVILLE, CA|ROSEVILLE, CA | Current employment |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Feb 15, 2013 | Jun 8, 2015 | no | SACRAMENTO, CA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | May 9, 2011 | Sep 10, 2012 | no | ROSEVILLE, CA | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Apr 28, 2010 | no | Roseville, CA|Sacramento, CA | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Apr 2, 2007 | Jun 1, 2009 | no | ROSEVILLE, CA|SACRAMENTO, CA|ROSEVILLE, CA|SACRAMENTO, CA|LINCOLN, CA | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Nov 2, 1998 | Apr 2, 2007 | no | SACRAMENTO, CA|SACRAMENTO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | WELLS FARGO ADVISORS | Jun 8, 2015 | Dec 17, 2015 | 192 | Firm change | Other |
| WELLS FARGO ADVISORS | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | Sep 10, 2012 | Feb 15, 2013 | 158 | Firm change | Other |
| MORGAN STANLEY | WELLS FARGO ADVISORS | Apr 28, 2010 | May 9, 2011 | 376 | 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 |