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Reading the graph
Advisor at MORGAN STANLEY
Montecito, 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 |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | Wirehouse | Apr 21, 2017 | n/a | yes | Montecito, CA | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Feb 4, 2015 | Apr 24, 2017 | no | SANTA BARBARA, CA|SANTA BARBARA, CA | Previous registration |
| D.A. DAVIDSON & CO. | Independent wealth | Nov 25, 2013 | Jan 21, 2015 | no | SANTA BARBARA, CA | Previous registration |
| CROWELL WEEDON & CO. | Former SEC adviser | Nov 4, 2013 | Nov 25, 2013 | no | SANTA BARBARA, CA | Previous registration |
| CROWELL, WEEDON & CO. | Former SEC adviser | May 14, 2013 | Nov 4, 2013 | no | SANTA BARBARA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MORGAN STANLEY | Apr 24, 2017 | Apr 21, 2017 | -3 | Firm change | Wirehouse to wirehouse |
| D.A. DAVIDSON & CO. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jan 21, 2015 | Feb 4, 2015 | 14 | Firm change | Other |
| CROWELL WEEDON & CO. | D.A. DAVIDSON & CO. | Nov 25, 2013 | Nov 25, 2013 | 0 | Bulk transfer | Other |
| CROWELL, WEEDON & CO. | CROWELL WEEDON & CO. | Nov 4, 2013 | Nov 4, 2013 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:149777:CA:2017-04-03 | Apr 24, 2017 | Apr 21, 2017 | SANTA BARBARA, CA | Firm change |