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Reading the graph
Advisor at KRILOGY
Venice, FL | ST. LOUIS, MO
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 |
|---|---|---|---|---|---|---|
| Krilogy | Independent wealth | Mar 15, 2019 | n/a | yes | ST. LOUIS, MO|Venice, FL | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Aug 31, 2007 | Mar 19, 2019 | no | CLAYTON, MO|FRONTENAC, MO|CLAYTON, MO|FRONTENAC, MO|CHESTERFIELD, MO | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Apr 2, 2007 | Sep 5, 2007 | no | ST. LOUIS, MO | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Apr 17, 2002 | Apr 2, 2007 | no | ST. LOUIS, MO|ST. LOUIS, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Krilogy | Mar 19, 2019 | Mar 15, 2019 | -4 | Firm change | Wirehouse to RIA |
| MORGAN STANLEY & CO. LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Sep 5, 2007 | Aug 31, 2007 | -5 | Firm change | Other |
| MORGAN STANLEY DW INC. | MORGAN STANLEY & CO. LLC | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |