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Advisor at PROSPERA FINANCIAL SERVICES, INC.
La Jolla, CA | DALLAS, TX
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 |
|---|---|---|---|---|---|---|
| PROSPERA FINANCIAL SERVICES, INC. | Bd affiliated wealth | Oct 9, 2019 | n/a | yes | DALLAS, TX|La Jolla, CA | Current employment |
| MORGAN STANLEY | Wirehouse | Mar 2, 2010 | Oct 4, 2019 | no | La Jolla, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jul 8, 1997 | Mar 3, 2010 | no | LA JOLLA, CA|LA JOLLA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | PROSPERA FINANCIAL SERVICES, INC. | Oct 4, 2019 | Oct 9, 2019 | 5 | Firm change | Wirehouse to RIA |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MORGAN STANLEY | Mar 3, 2010 | Mar 2, 2010 | -1 | Firm change | Wirehouse to wirehouse |