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Advisor at WELLS FARGO ADVISORS
SCOTTSDALE, AZ
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 |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | Wirehouse | Jun 17, 2022 | n/a | yes | SCOTTSDALE, AZ | Current employment |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Oct 1, 2012 | Jun 16, 2022 | no | SCOTTSDALE, AZ|SCOTTSDALE, AZ|FOUNTAIN HILLS, AZ|SCOTTSDALE, AZ|Scottsdale, AZ|Scottsdale, AZ|Scottsdale, AZ|Scottsdale, AZ|Scottsdale, AZ | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Mar 17, 2010 | Oct 1, 2012 | no | SCOTTSDALE, AZ|SCOTTSDALE, AZ|SCOTTSDALE, AZ|SCOTTSDALE, AZ|FOUNTAIN HILLS, AZ|FOUNTAIN HILLS, AZ | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jan 15, 2009 | Mar 3, 2010 | no | PHOENIX, AZ | Previous registration |
| CHARLES SCHWAB & CO., INC. | National bd RIA | Jul 22, 2002 | Apr 24, 2008 | no | Santa Rosa, CA|SANTA ROSA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J.P. MORGAN SECURITIES LLC | WELLS FARGO ADVISORS | Jun 16, 2022 | Jun 17, 2022 | 1 | Firm change | Wirehouse to wirehouse |
| CHASE INVESTMENT SERVICES CORP. | J.P. MORGAN SECURITIES LLC | Oct 1, 2012 | Oct 1, 2012 | 0 | Bulk transfer | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | CHASE INVESTMENT SERVICES CORP. | Mar 3, 2010 | Mar 17, 2010 | 14 | Firm change | Other |
| CHARLES SCHWAB & CO., INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Apr 24, 2008 | Jan 15, 2009 | 266 | Firm change | Ibd to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 79:19616:AZ:2022-06-16 | Jun 16, 2022 | Jun 17, 2022 | SCOTTSDALE, AZ | Firm change |