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Advisor at CERITY PARTNERS LLC
NEW YORK, NY | INDIANAPOLIS, IN
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 |
|---|---|---|---|---|---|---|
| CERITY PARTNERS LLC | Independent wealth | Oct 1, 2024 | n/a | yes | NEW YORK, NY|INDIANAPOLIS, IN | Current employment |
| SBC WEALTH MANAGEMENT | Former SEC adviser | Sep 12, 2017 | Nov 25, 2024 | no | INDIANAPOLIS, IN | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 20, 2013 | Sep 5, 2017 | no | INDIANAPOLIS, IN | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Nov 15, 2005 | Feb 7, 2013 | no | INDIANAPOLIS, IN|INDIANAPOLIS, IN|INDIANAPOLIS, IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SBC WEALTH MANAGEMENT | CERITY PARTNERS LLC | Nov 25, 2024 | Oct 1, 2024 | -55 | Firm change after gap | RIA to RIA |
| UBS FINANCIAL SERVICES INC. | SBC WEALTH MANAGEMENT | Sep 5, 2017 | Sep 12, 2017 | 7 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Feb 7, 2013 | Mar 20, 2013 | 41 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 122433:151559:IN:2024-11-25 | Nov 25, 2024 | Oct 1, 2024 | INDIANAPOLIS, IN | Firm change after gap |