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Advisor at SENDERO WEALTH MANAGEMENT, LLC
SAN ANTONIO, 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 |
|---|---|---|---|---|---|---|
| SENDERO WEALTH MANAGEMENT, LLC | Independent wealth | Dec 16, 2020 | n/a | yes | SAN ANTONIO, TX | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 23, 2009 | May 9, 2017 | no | SAN ANTONIO, TX|SAN ANTONIO, TX|SAN ANTONIO, TX|SAN ANTONIO, TX|SAN ANTONIO, TX | Previous registration |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Dec 19, 2002 | Oct 23, 2009 | no | SAN ANTONIO, TX|SAN ANTONIO, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | SENDERO WEALTH MANAGEMENT, LLC | May 9, 2017 | Dec 16, 2020 | 1,317 | Firm change after gap | Wirehouse to RIA |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |