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Advisor at RUFUS HAYES ASSET MANAGEMENT, LLC
NEW BRAUNFELS, TX
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 |
|---|---|---|---|---|---|---|
| RUFUS HAYES ASSET MANAGEMENT, LLC | State registered | Apr 18, 2017 | n/a | yes | NEW BRAUNFELS, TX | Current employment |
| SOUTH TEXAS CAPITAL ADVISORS, LLC | Independent wealth | Jun 24, 2016 | n/a | yes | NEW BRAUNFELS, TX | Current employment |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | May 8, 2015 | Jul 18, 2016 | no | NEW BRAUNFELS, TX | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Oct 1, 2012 | May 19, 2015 | no | NEW BRAUNFELS, TX|NEW BRAUNFELS, TX | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Jun 19, 2009 | Oct 1, 2012 | no | NEW BRAUNFELS, TX|NEW BRAUNFELS, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | SOUTH TEXAS CAPITAL ADVISORS, LLC | Jul 18, 2016 | Jun 24, 2016 | -24 | Firm change | Other |
| J.P. MORGAN SECURITIES LLC | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | May 19, 2015 | May 8, 2015 | -11 | Firm change | Other |
| CHASE INVESTMENT SERVICES CORP. | J.P. MORGAN SECURITIES LLC | Oct 1, 2012 | Oct 1, 2012 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 149018:283773:TX:2016-07-05 | Jul 18, 2016 | Jun 24, 2016 | NEW BRAUNFELS, TX | Firm change |
| 79:149018:TX:2015-05-12 | May 19, 2015 | May 8, 2015 | NEW BRAUNFELS, TX | Firm change |