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Advisor at FOCUSED ALPHA, LLC
PHOENIX, AZ | GREENWOOD VILLAGE, CO
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 |
|---|---|---|---|---|---|---|
| FOCUSED ALPHA, LLC | Independent wealth | May 6, 2024 | n/a | yes | PHOENIX, AZ|GREENWOOD VILLAGE, CO | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jan 14, 2016 | Apr 16, 2024 | no | PHOENIX, AZ|TUCSON, AZ | Previous registration |
| MORGAN STANLEY | Wirehouse | Dec 11, 2013 | Jul 31, 2015 | no | TEMPE, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | FOCUSED ALPHA, LLC | Apr 16, 2024 | May 6, 2024 | 20 | Firm change | Wirehouse to RIA |
| MORGAN STANLEY | UBS FINANCIAL SERVICES INC. | Jul 31, 2015 | Jan 14, 2016 | 167 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:310591:AZ:2024-04-16 | Apr 16, 2024 | May 6, 2024 | TUCSON, AZ | Firm change |
| 149777:8174:AZ:2015-07-31 | Jul 31, 2015 | Jan 14, 2016 | TEMPE, AZ | Firm change |