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Advisor at RAYMOND JAMES & ASSOCIATES, INC.
HOUSTON, 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 |
|---|---|---|---|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | National bd RIA | Jan 6, 2017 | n/a | yes | HOUSTON, TX | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Nov 11, 2010 | Jan 17, 2017 | no | HOUSTON, TX | Previous registration |
| CAZ INVESTMENTS L.P. | Asset manager | Feb 16, 2006 | May 26, 2009 | no | HOUSTON, TX | Previous registration |
| ROXBURY CAPITAL MANAGEMENT LLC | Former SEC adviser | Jul 4, 1998 | Jan 3, 2006 | no | HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | RAYMOND JAMES & ASSOCIATES, INC. | Jan 17, 2017 | Jan 6, 2017 | -11 | Firm change | Wirehouse to ibd |
| CAZ INVESTMENTS L.P. | UBS FINANCIAL SERVICES INC. | May 26, 2009 | Nov 11, 2010 | 534 | Firm change after gap | Other |
| ROXBURY CAPITAL MANAGEMENT LLC | CAZ INVESTMENTS L.P. | Jan 3, 2006 | Feb 16, 2006 | 44 | Firm change | Other |