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Advisor at ADVISORS ASSET MANAGEMENT, INC.
PRINCETON, NJ
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 |
|---|---|---|---|---|---|---|
| ADVISORS ASSET MANAGEMENT, INC. | Mixed wealth | Jun 22, 2026 | n/a | yes | PRINCETON, NJ | Current employment |
| BNY MELLON SECURITIES CORPORATION | Other adviser | Oct 22, 2015 | Jun 12, 2024 | no | New York, NY|New York, NY|BOSTON, MA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Dec 22, 2008 | Oct 1, 2015 | no | PENNINGTON, NJ|PENNINGTON, NJ|PENNINGTON, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| BNY MELLON SECURITIES CORPORATION | ADVISORS ASSET MANAGEMENT, INC. | Jun 12, 2024 | Jun 22, 2026 | 740 | Firm change after gap | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | BNY MELLON SECURITIES CORPORATION | Oct 1, 2015 | Oct 22, 2015 | 21 | Firm change | Other |