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Advisor at CAPITAL ANALYSTS
Phoenix, AZ
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 |
|---|---|---|---|---|---|---|
| CAPITAL ANALYSTS | Bd affiliated wealth | Mar 12, 2020 | n/a | yes | Phoenix, AZ | Current employment |
| PRUCO SECURITIES, LLC | No RAUM reported | Jun 4, 2019 | Mar 16, 2020 | no | Phoenix, AZ|Phoenix, AZ | Previous registration |
| PERSPECTIVE FINANCIAL SERVICES LLC | Former SEC adviser | Jan 4, 2018 | Jan 4, 2019 | no | PHOENIX, AZ | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Aug 26, 2014 | Dec 13, 2017 | no | PEORIA, AZ|GLENDALE, AZ|GLENDALE, AZ|PEORIA, AZ|PHOENIX, AZ|SCOTTSDALE, AZ | Previous registration |
| MORGAN STANLEY | Wirehouse | Sep 25, 2013 | May 22, 2014 | no | Scottsdale, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PRUCO SECURITIES, LLC | CAPITAL ANALYSTS | Mar 16, 2020 | Mar 12, 2020 | -4 | Firm change | Ibd to ibd |
| PERSPECTIVE FINANCIAL SERVICES LLC | PRUCO SECURITIES, LLC | Jan 4, 2019 | Jun 4, 2019 | 151 | Firm change | RIA to ibd |
| J.P. MORGAN SECURITIES LLC | PERSPECTIVE FINANCIAL SERVICES LLC | Dec 13, 2017 | Jan 4, 2018 | 22 | Firm change | Other |
| MORGAN STANLEY | J.P. MORGAN SECURITIES LLC | May 22, 2014 | Aug 26, 2014 | 96 | Firm change | Wirehouse to wirehouse |