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Advisor at MORGAN STANLEY
Raleigh, NC
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 |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | Wirehouse | Aug 26, 2021 | n/a | yes | Raleigh, NC | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 17, 2015 | Aug 31, 2021 | no | RALEIGH, NC|RALEIGH, NC | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Feb 19, 2009 | Apr 28, 2015 | no | RALEIGH, NC | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Dec 1, 1993 | Feb 20, 2009 | no | RALEIGH, NC|RALEIGH, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MORGAN STANLEY | Aug 31, 2021 | Aug 26, 2021 | -5 | Firm change | Wirehouse to wirehouse |
| UBS FINANCIAL SERVICES INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Apr 28, 2015 | Apr 17, 2015 | -11 | Firm change | Wirehouse to wirehouse |
| WELLS FARGO ADVISORS | UBS FINANCIAL SERVICES INC. | Feb 20, 2009 | Feb 19, 2009 | -1 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:7691:NC:2015-04-15 | Apr 28, 2015 | Apr 17, 2015 | RALEIGH, NC | Firm change |