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Advisor at TOPTURN CAPITAL, LLC
CARMEL, 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 |
|---|---|---|---|---|---|---|
| TOPTURN CAPITAL, LLC | Independent wealth | Dec 8, 2025 | n/a | yes | CARMEL, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | May 20, 2005 | Nov 19, 2009 | no | CARMEL, CA|CARMEL, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | May 14, 1990 | May 27, 2005 | no | FRESNO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | TOPTURN CAPITAL, LLC | Nov 19, 2009 | Dec 8, 2025 | 5,863 | Firm change after gap | Wirehouse to RIA |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | May 27, 2005 | May 20, 2005 | -7 | Firm change | Wirehouse to wirehouse |