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Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LAS CRUCES, NM | Sunland Park, NM
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 |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 10, 2018 | n/a | yes | Sunland Park, NM|LAS CRUCES, NM | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Nov 1, 2013 | Sep 14, 2016 | no | SAN YSIDRO, CA|SAN DIEGO, CA|CHULA VISTA, CA|CHULA VISTA, CA | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Oct 1, 2012 | Nov 5, 2013 | no | ESCONDIDO, CA|ESCONDIDO, CA | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Feb 17, 2012 | Oct 1, 2012 | no | SAN MARCOS, CA|SAN MARCOS, CA|ESCONDIDO, CA|ESCONDIDO, CA | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Aug 24, 2009 | Mar 8, 2010 | no | EL CENTRO, CA|CALEXICO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Sep 14, 2016 | Apr 10, 2018 | 573 | Firm change after gap | Wirehouse to wirehouse |
| J.P. MORGAN SECURITIES LLC | WELLS FARGO ADVISORS | Nov 5, 2013 | Nov 1, 2013 | -4 | 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 |
|---|---|---|---|---|
| 19616:7691:CA:2016-09-14 | Sep 14, 2016 | Apr 10, 2018 | CHULA VISTA, CA | Firm change after gap |