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Advisor at RAYMOND JAMES & ASSOCIATES, INC.
Charlotte, 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 |
|---|---|---|---|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | National bd RIA | May 19, 2021 | n/a | yes | Charlotte, NC | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Nov 20, 2009 | May 20, 2021 | no | CHARLOTTE, NC | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Dec 14, 2009 | no | CHARLOTTE, NC | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Dec 31, 2001 | Jun 1, 2009 | no | CHARLOTTE, NC|CHARLOTTE, NC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | RAYMOND JAMES & ASSOCIATES, INC. | May 20, 2021 | May 19, 2021 | -1 | Firm change | Wirehouse to ibd |
| MORGAN STANLEY | WELLS FARGO ADVISORS | Dec 14, 2009 | Nov 20, 2009 | -24 | Firm change | Wirehouse to wirehouse |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 19616:705:NC:2021-05-20 | May 20, 2021 | May 19, 2021 | CHARLOTTE, NC | Firm change |