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Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Greenwood Village, CO
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 FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | Jun 18, 2021 | n/a | yes | Greenwood Village, CO | Current employment |
| FORTA FINANCIAL GROUP, INC. | Former SEC adviser | Jul 18, 2014 | Jul 14, 2021 | no | GREENWOOD VILLAGE, CO | Previous registration |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Oct 16, 2013 | Jul 22, 2014 | no | DENVER, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FORTA FINANCIAL GROUP, INC. | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Jul 14, 2021 | Jun 18, 2021 | -26 | Firm change | RIA to ibd |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | FORTA FINANCIAL GROUP, INC. | Jul 22, 2014 | Jul 18, 2014 | -4 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 28784:149018:CO:2021-06-30 | Jul 14, 2021 | Jun 18, 2021 | GREENWOOD VILLAGE, CO | Firm change |