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Advisor at MORGAN STANLEY
Dallas, TX
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 | Dallas, TX | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jun 19, 2017 | Jul 27, 2021 | no | DALLAS, TX|NEW YORK, NY | Previous registration |
| RAYMOND JAMES & ASSOCIATES, INC. | National bd RIA | Oct 21, 2013 | Jun 13, 2017 | no | Dallas, TX | Previous registration |
| CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Jun 25, 2012 | May 29, 2013 | no | PLANO, TX | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | May 24, 2007 | Apr 26, 2012 | no | DALLAS, TX | Previous registration |
| CREDIT SUISSE SECURITIES (USA) LLC | Former SEC adviser | Sep 7, 2006 | May 18, 2007 | no | DALLAS, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MORGAN STANLEY | Jul 27, 2021 | Aug 26, 2021 | 30 | Firm change | Wirehouse to wirehouse |
| RAYMOND JAMES & ASSOCIATES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jun 13, 2017 | Jun 19, 2017 | 6 | Firm change | Ibd to wirehouse |
| CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC | RAYMOND JAMES & ASSOCIATES, INC. | May 29, 2013 | Oct 21, 2013 | 145 | Firm change | Other |
| J.P. MORGAN SECURITIES LLC | CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC | Apr 26, 2012 | Jun 25, 2012 | 60 | Firm change | Other |
| CREDIT SUISSE SECURITIES (USA) LLC | J.P. MORGAN SECURITIES LLC | May 18, 2007 | May 24, 2007 | 6 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:149777:NY:2021-06-21 | Jul 27, 2021 | Aug 26, 2021 | NEW YORK, NY | Firm change |
| 705:7691:TX:2017-06-13 | Jun 13, 2017 | Jun 19, 2017 | DALLAS, TX | Firm change |