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Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ROSEVILLE, CA | CHICO, 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 |
|---|---|---|---|---|---|---|
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | Sep 22, 2016 | n/a | yes | ROSEVILLE, CA|CHICO, CA | Current employment |
| INDEPENDENT CAPITAL MANAGEMENT | n/a | Jun 23, 2010 | Apr 27, 2012 | no | CARLSBAD, CA | Previous registration |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Dec 16, 2009 | Sep 29, 2016 | no | ROSEVILLE, CA|CARLSBAD, CA|PHOENIX, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SAGEPOINT FINANCIAL, INC. | INDEPENDENT CAPITAL MANAGEMENT | Sep 29, 2016 | Jun 23, 2010 | -2,290 | Firm change after gap | Other |
| INDEPENDENT CAPITAL MANAGEMENT | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Apr 27, 2012 | Sep 22, 2016 | 1,609 | Firm change after gap | Other |