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Advisor at VIENNA ASSET MANAGEMENT LLC
SARATOGA, 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 |
|---|---|---|---|---|---|---|
| VIENNA ASSET MANAGEMENT LLC | Independent wealth | Nov 20, 2025 | n/a | yes | SARATOGA, CA | Current employment |
| WESTERN INTERNATIONAL SECURITIES | Former SEC adviser | May 15, 2017 | Dec 10, 2019 | no | Campbell, CA|Pasadena, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jun 10, 2016 | Jun 2, 2017 | no | SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WESTERN INTERNATIONAL SECURITIES | VIENNA ASSET MANAGEMENT LLC | Dec 10, 2019 | Nov 20, 2025 | 2,172 | Firm change after gap | RIA to RIA |
| UBS FINANCIAL SERVICES INC. | WESTERN INTERNATIONAL SECURITIES | Jun 2, 2017 | May 15, 2017 | -18 | Firm change | Other |