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Advisor at USI ADVISORS
GLASTONBURY, CT | Dallas, 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 |
|---|---|---|---|---|---|---|
| USI ADVISORS | Institutional manager | Mar 23, 2017 | n/a | yes | GLASTONBURY, CT|Dallas, TX | Current employment |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Apr 7, 2015 | Mar 7, 2017 | no | DALLAS, TX | Previous registration |
| 1ST GLOBAL ADVISORS INC | Former SEC adviser | Feb 16, 2010 | Aug 7, 2014 | no | DALLAS, TX|DALLAS, TX | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Mar 23, 2009 | Jul 29, 2009 | no | DALLAS, TX | Previous registration |
| INSTITUTIONAL SECURITIES CORPORATION | Former SEC adviser | Oct 8, 2008 | Mar 25, 2009 | no | DALLAS, TX | Previous registration |
| CROWN CAPITAL SECURITIES, L.P. | Former SEC adviser | Oct 5, 2007 | Oct 10, 2008 | no | DALLAS, TX | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Jan 23, 2007 | Sep 11, 2007 | no | EULESS, TX | Previous registration |
| EQUITABLE ADVISORS, LLC | National bd RIA | May 10, 2004 | Jan 18, 2007 | no | DALLAS, TX|DALLAS, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MML INVESTORS SERVICES, LLC | USI ADVISORS | Mar 7, 2017 | Mar 23, 2017 | 16 | Firm change | Other |
| 1ST GLOBAL ADVISORS INC | MML INVESTORS SERVICES, LLC | Aug 7, 2014 | Apr 7, 2015 | 243 | Firm change | Other |
| WELLS FARGO ADVISORS | 1ST GLOBAL ADVISORS INC | Jul 29, 2009 | Feb 16, 2010 | 202 | Firm change | Other |
| INSTITUTIONAL SECURITIES CORPORATION | WELLS FARGO ADVISORS | Mar 25, 2009 | Mar 23, 2009 | -2 | Firm change | Other |
| CROWN CAPITAL SECURITIES, L.P. | INSTITUTIONAL SECURITIES CORPORATION | Oct 10, 2008 | Oct 8, 2008 | -2 | Firm change | Other |
| CHASE INVESTMENT SERVICES CORP. | CROWN CAPITAL SECURITIES, L.P. | Sep 11, 2007 | Oct 5, 2007 | 24 | Firm change | Other |
| EQUITABLE ADVISORS, LLC | CHASE INVESTMENT SERVICES CORP. | Jan 18, 2007 | Jan 23, 2007 | 5 | Firm change | Other |