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Advisor at PRISM ADVISORS, INC.
Studio City, 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 |
|---|---|---|---|---|---|---|
| PRISM ADVISORS, INC. | Independent wealth | Jan 9, 2018 | n/a | yes | Studio City, CA | Current employment |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Jan 12, 2016 | Jan 24, 2018 | no | Pasadena, CA | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Jan 12, 2016 | Jan 24, 2018 | no | Pasadena, CA | Previous registration |
| EDWARD JONES | National bd RIA | Jun 23, 2014 | Jan 6, 2016 | no | ST LOUIS, MO|MISSION VIEJO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | TD AMERITRADE, INC. | Jan 24, 2018 | Jan 12, 2016 | -743 | Channel change | Other |
| TD AMERITRADE, INC. | PRISM ADVISORS, INC. | Jan 24, 2018 | Jan 9, 2018 | -15 | Firm change | Other |
| EDWARD JONES | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Jan 6, 2016 | Jan 12, 2016 | 6 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 111514:7870:CA:2018-01-24 | Jan 24, 2018 | Jan 12, 2016 | PASADENA, CA | Firm change after gap |