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Reading the graph
Advisor at COMMONWEALTH FINANCIAL NETWORK
Monterey, 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 |
|---|---|---|---|---|---|---|
| COMMONWEALTH FINANCIAL NETWORK | National bd RIA | Oct 26, 2020 | n/a | yes | Monterey, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Sep 2, 2011 | Nov 3, 2020 | no | CARMEL, CA | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Sep 22, 2011 | no | SALINAS, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Feb 24, 2000 | Jun 1, 2009 | no | SALINAS, CA|SALINAS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | COMMONWEALTH FINANCIAL NETWORK | Nov 3, 2020 | Oct 26, 2020 | -8 | Firm change | Wirehouse to ibd |
| MORGAN STANLEY | UBS FINANCIAL SERVICES INC. | Sep 22, 2011 | Sep 2, 2011 | -20 | Firm change | Wirehouse to wirehouse |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8174:8032:CA:2020-11-03 | Nov 3, 2020 | Oct 26, 2020 | CARMEL, CA | Firm change |