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Advisor at PNC WEALTH MANAGEMENT
PALM SPRINGS, CA | INDIO, CA | PALM DESERT, 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 |
|---|---|---|---|---|---|---|
| PNC WEALTH MANAGEMENT | Bd affiliated wealth | Oct 28, 2022 | n/a | yes | PALM SPRINGS, CA|INDIO, CA|PALM DESERT, CA | Current employment |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Apr 6, 2021 | Sep 13, 2022 | no | PALM SPRINGS, CA | Previous registration |
| PRUCO SECURITIES, LLC | No RAUM reported | Jun 7, 2019 | Feb 26, 2021 | no | EL SEGUNDO, CA|Palm Desert, CA | Previous registration |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Dec 4, 2013 | Jan 23, 2019 | no | INDIAN WELLS, CA | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Dec 4, 2013 | Jan 23, 2019 | no | Indian Wells, CA | Previous registration |
| VALIC FINANCIAL ADVISORS, INC. | Bd affiliated wealth | Jun 23, 2009 | Nov 21, 2013 | no | Glendale, CA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | May 29, 2008 | Feb 3, 2009 | no | LOS ANGELES, CA|IRVINE, CA|DESERT HOT SPRINGS, CA | Previous registration |
| EDWARD JONES | National bd RIA | Jan 22, 2007 | Apr 14, 2008 | no | ST LOUIS, MO|LA QUINTA, CA | Previous registration |
| WADDELL & REED | Former SEC adviser | Dec 14, 2006 | Jan 24, 2007 | no | RIVERSIDE, CA | Previous registration |
| WAMU INVESTMENTS, INC. | n/a | Aug 22, 2006 | Oct 27, 2006 | no | SAN DIEGO, CA | Previous registration |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Jul 13, 2005 | May 12, 2006 | no | PALM SPRINGS, CA|PALM SPRINGS, CA | Previous registration |
| WELLS FARGO INVESTMENTS, LLC | n/a | Dec 2, 2004 | Jun 9, 2005 | no | PALM SPRINGS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J.P. MORGAN SECURITIES LLC | PNC WEALTH MANAGEMENT | Sep 13, 2022 | Oct 28, 2022 | 45 | Firm change | Wirehouse to ibd |
| PRUCO SECURITIES, LLC | J.P. MORGAN SECURITIES LLC | Feb 26, 2021 | Apr 6, 2021 | 39 | Firm change | Ibd to wirehouse |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | TD AMERITRADE, INC. | Jan 23, 2019 | Dec 4, 2013 | -1,876 | Channel change | Other |
| TD AMERITRADE, INC. | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Jan 23, 2019 | Dec 4, 2013 | -1,876 | Firm change after gap | Other |
| VALIC FINANCIAL ADVISORS, INC. | TD AMERITRADE, INC. | Nov 21, 2013 | Dec 4, 2013 | 13 | Firm change | Other |
| WELLS FARGO ADVISORS | VALIC FINANCIAL ADVISORS, INC. | Feb 3, 2009 | Jun 23, 2009 | 140 | Firm change | Other |
| EDWARD JONES | WELLS FARGO ADVISORS | Apr 14, 2008 | May 29, 2008 | 45 | Firm change | Ibd to wirehouse |
| WADDELL & REED | EDWARD JONES | Jan 24, 2007 | Jan 22, 2007 | -2 | Firm change | Other |
| WAMU INVESTMENTS, INC. | WADDELL & REED | Oct 27, 2006 | Dec 14, 2006 | 48 | Firm change | Other |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | WAMU INVESTMENTS, INC. | May 12, 2006 | Aug 22, 2006 | 102 | Firm change | Other |
| WELLS FARGO INVESTMENTS, LLC | BANC OF AMERICA INVESTMENT SERVICES, INC. | Jun 9, 2005 | Jul 13, 2005 | 34 | Firm change | Other |