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Advisor at UBS FINANCIAL SERVICES INC.
Mill Valley, CA
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 | Aug 30, 2019 | n/a | yes | Mill Valley, CA | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jun 9, 2000 | Aug 30, 2019 | no | SAN FRANCISCO, CA|MILL VALLEY, CA|SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Aug 30, 2019 | Aug 30, 2019 | 0 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:8174:CA:2019-08-30 | Aug 30, 2019 | Aug 30, 2019 | SAN FRANCISCO, CA | Firm change |