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Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Stockton, 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 |
|---|---|---|---|---|---|---|
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | Jun 14, 2021 | n/a | yes | Stockton, CA | Current employment |
| PNC MANAGED ACCOUNT SOLUTIONS, INC. | Former SEC adviser | Oct 15, 2010 | Jun 14, 2021 | no | HOUSTON, TX|HOUSTON, TX|STOCKTON, CA | Previous registration |
| ST JOHNS WEALTH MANAGEMENT | n/a | Apr 8, 2010 | Oct 15, 2010 | no | STOCKTON, CA | Previous registration |
| CETERA INVESTMENT SERVICES LLC | Former SEC adviser | Sep 29, 2008 | Dec 23, 2009 | no | STOCKTON, CA | Previous registration |
| WADDELL & REED | Former SEC adviser | May 24, 2002 | Nov 20, 2003 | no | LODI, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PNC MANAGED ACCOUNT SOLUTIONS, INC. | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Jun 14, 2021 | Jun 14, 2021 | 0 | Firm change | Ibd to ibd |
| ST JOHNS WEALTH MANAGEMENT | PNC MANAGED ACCOUNT SOLUTIONS, INC. | Oct 15, 2010 | Oct 15, 2010 | 0 | Bulk transfer | Other |
| CETERA INVESTMENT SERVICES LLC | ST JOHNS WEALTH MANAGEMENT | Dec 23, 2009 | Apr 8, 2010 | 106 | Firm change | Other |
| WADDELL & REED | CETERA INVESTMENT SERVICES LLC | Nov 20, 2003 | Sep 29, 2008 | 1,775 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 110476:149018:CA:2021-06-14 | Jun 14, 2021 | Jun 14, 2021 | STOCKTON, CA | Firm change |