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Advisor at EDWARD JONES
APTOS, CA
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 |
|---|---|---|---|---|---|---|
| EDWARD JONES | National bd RIA | Jun 18, 2021 | n/a | yes | APTOS, CA | Current employment |
| TD AMERITRADE, INC. | Former SEC adviser | Feb 27, 2018 | Jan 11, 2021 | no | SOQUEL, CA|Walnut Creek, CA | Previous registration |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Feb 26, 2018 | Dec 31, 2020 | no | OMAHA, NE|SOQUEL, CA | Previous registration |
| SCOTTRADE INVESTMENT MANAGEMENT | Former SEC adviser | Feb 1, 2017 | Feb 26, 2018 | no | SAINT LOUIS, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| TD AMERITRADE, INC. | EDWARD JONES | Jan 11, 2021 | Jun 18, 2021 | 158 | Firm change | Other |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | TD AMERITRADE, INC. | Dec 31, 2020 | Feb 27, 2018 | -1,038 | Bulk transfer | Other |
| SCOTTRADE INVESTMENT MANAGEMENT | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Feb 26, 2018 | Feb 26, 2018 | 0 | Bulk transfer | Ibd to RIA |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7870:250:CA:2021-01-11 | Jan 11, 2021 | Jun 18, 2021 | WALNUT CREEK, CA | Firm change |