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Advisor at AWM GLOBAL ADVISORS
SAN DIEGO, 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 |
|---|---|---|---|---|---|---|
| AWM GLOBAL ADVISORS | Independent wealth | Sep 20, 2012 | n/a | yes | SAN DIEGO, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 4, 2010 | Dec 5, 2011 | no | SAN DIEGO, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Mar 13, 1998 | Mar 15, 2010 | no | SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | AWM GLOBAL ADVISORS | Dec 5, 2011 | Sep 20, 2012 | 290 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Mar 15, 2010 | Mar 4, 2010 | -11 | Firm change | Wirehouse to wirehouse |