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Reading the graph
Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Chula Vista, CA | MIAMI, FL | SAN DIEGO, 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 |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Aug 3, 2016 | n/a | yes | SAN DIEGO, CA|MIAMI, FL|Chula Vista, CA | Current employment |
| MORGAN STANLEY | Wirehouse | Feb 20, 2015 | Aug 4, 2016 | no | San Diego, CA | Previous registration |
| RBC CAPITAL MARKETS, LLC | National bd RIA | May 7, 2013 | Feb 27, 2015 | no | LA JOLLA, CA|SAN DIEGO, CA|MIAMI, FL | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jun 7, 2010 | May 7, 2013 | no | SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Aug 4, 2016 | Aug 3, 2016 | -1 | Firm change | Wirehouse to wirehouse |
| RBC CAPITAL MARKETS, LLC | MORGAN STANLEY | Feb 27, 2015 | Feb 20, 2015 | -7 | Firm change | Ibd to wirehouse |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | RBC CAPITAL MARKETS, LLC | May 7, 2013 | May 7, 2013 | 0 | Firm change | Wirehouse to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 149777:7691:CA:2016-08-04 | Aug 4, 2016 | Aug 3, 2016 | SAN DIEGO, CA | Firm change |
| 31194:149777:FL:2015-01-29 | Feb 27, 2015 | Feb 20, 2015 | MIAMI, FL | Firm change |