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Advisor at WELLS FARGO ADVISORS
CHARLOTTE, NC
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 |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | Wirehouse | Nov 28, 2012 | n/a | yes | CHARLOTTE, NC | Current employment |
| STERNE AGEE ASSET MANAGEMENT, INC. | Former SEC adviser | Dec 9, 2011 | Jan 3, 2013 | no | BIRMINGHAM, AL | Previous registration |
| ANDERSON & STRUDWICK, INCORPORATED | Former SEC adviser | Aug 26, 2005 | Dec 9, 2011 | no | CHARLOTTE, NC|RICHMOND, VA|CHARLOTTE, NC | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 29, 2001 | Sep 22, 2005 | no | VIENNA, VA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| STERNE AGEE ASSET MANAGEMENT, INC. | WELLS FARGO ADVISORS | Jan 3, 2013 | Nov 28, 2012 | -36 | Firm change after gap | Other |
| ANDERSON & STRUDWICK, INCORPORATED | STERNE AGEE ASSET MANAGEMENT, INC. | Dec 9, 2011 | Dec 9, 2011 | 0 | Firm change | Other |
| UBS FINANCIAL SERVICES INC. | ANDERSON & STRUDWICK, INCORPORATED | Sep 22, 2005 | Aug 26, 2005 | -27 | Firm change | Other |