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Advisor at UBS FINANCIAL SERVICES INC.
HOUSTON, 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 |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | Wirehouse | Sep 13, 2023 | n/a | yes | HOUSTON, TX | Current employment |
| MORGAN STANLEY | Wirehouse | Mar 3, 2017 | Sep 20, 2023 | no | Houston, TX|Houston, TX|HOUSTON, TX | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Oct 1, 2012 | Mar 22, 2017 | no | HOUSTON, TX|HOUSTON, TX|HOUSTON, TX|Houston, TX | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Jul 6, 2007 | Oct 1, 2012 | no | HOUSTON, TX|HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | UBS FINANCIAL SERVICES INC. | Sep 20, 2023 | Sep 13, 2023 | -7 | Firm change | Wirehouse to wirehouse |
| J.P. MORGAN SECURITIES LLC | MORGAN STANLEY | Mar 22, 2017 | Mar 3, 2017 | -19 | Firm change | Wirehouse to wirehouse |
| CHASE INVESTMENT SERVICES CORP. | J.P. MORGAN SECURITIES LLC | Oct 1, 2012 | Oct 1, 2012 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 79:149777:TX:2017-03-22 | Mar 22, 2017 | Mar 3, 2017 | HOUSTON, TX | Firm change |