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Advisor at FROST INVESTMENT SERVICES
Dallas, TX | SAN ANTONIO, 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 |
|---|---|---|---|---|---|---|
| FROST INVESTMENT SERVICES | Bd affiliated wealth | Jan 28, 2022 | n/a | yes | Dallas, TX|SAN ANTONIO, TX | Current employment |
| FROST INVESTMENT SERVICES | Bd affiliated wealth | Dec 6, 2018 | Dec 31, 2021 | no | DALLAS, TX | Previous registration |
| NORTHERN TRUST SECURITIES, INC | Bd affiliated wealth | Jan 4, 2005 | Dec 31, 2009 | no | DALLAS, TX|ADDISON, TX|ADDISON, TX | Previous registration |
| OSAIC FA, INC. | Former SEC adviser | Apr 1, 2004 | Jun 2, 2004 | no | DEERFIELD BEACH , FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NORTHERN TRUST SECURITIES, INC | FROST INVESTMENT SERVICES | Dec 31, 2009 | Dec 6, 2018 | 3,262 | Firm change after gap | Other |
| OSAIC FA, INC. | NORTHERN TRUST SECURITIES, INC | Jun 2, 2004 | Jan 4, 2005 | 216 | Firm change | Other |