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Advisor at SOWELL MANAGEMENT
Santa Monica, CA | NORTH LITTLE ROCK, AR
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 |
|---|---|---|---|---|---|---|
| SOWELL MANAGEMENT | Independent wealth | Sep 16, 2016 | n/a | yes | Santa Monica, CA|NORTH LITTLE ROCK, AR | Current employment |
| CONCERT WEALTH MANAGEMENT | Former SEC adviser | Apr 21, 2016 | Apr 12, 2017 | no | Santa Monica, CA|Santa Monica, CA|SAN JOSE, CA | Previous registration |
| PLATINUM WEALTH PARTNERS | Former SEC adviser | Nov 13, 2015 | Dec 31, 2017 | no | SANTA MONICA, CA|TAMPA, FL | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | May 26, 2006 | Nov 17, 2015 | no | PASADENA, CA|LOS ANGELES, CA|PASADENA, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Jul 8, 1997 | Jun 8, 2006 | no | PASADENA, CA|PASADENA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PLATINUM WEALTH PARTNERS | CONCERT WEALTH MANAGEMENT | Dec 31, 2017 | Apr 21, 2016 | -619 | Firm change after gap | Other |
| CONCERT WEALTH MANAGEMENT | SOWELL MANAGEMENT | Apr 12, 2017 | Sep 16, 2016 | -208 | Firm change after gap | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | PLATINUM WEALTH PARTNERS | Nov 17, 2015 | Nov 13, 2015 | -4 | Firm change | Other |
| CITIGROUP GLOBAL MARKETS INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jun 8, 2006 | May 26, 2006 | -13 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 141253:127145:CA:2017-03-24 | Apr 12, 2017 | Sep 16, 2016 | SAN JOSE, CA | Firm change after gap |