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Advisor at ARIA WEALTH MANAGEMENT
SARATOGA, 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 |
|---|---|---|---|---|---|---|
| ARIA WEALTH MANAGEMENT | Independent wealth | Jan 1, 2026 | n/a | yes | SARATOGA, CA | Current employment |
| SOWELL MANAGEMENT | Independent wealth | Oct 7, 2016 | Jan 9, 2017 | no | San Jose, CA|NORTH LITTLE ROCK, AR | Previous registration |
| CONCERT WEALTH MANAGEMENT | Former SEC adviser | Feb 19, 2016 | Sep 26, 2017 | no | SAN JOSE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CONCERT WEALTH MANAGEMENT | SOWELL MANAGEMENT | Sep 26, 2017 | Oct 7, 2016 | -354 | Firm change after gap | Other |
| SOWELL MANAGEMENT | ARIA WEALTH MANAGEMENT | Jan 9, 2017 | Jan 1, 2026 | 3,279 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 141253:127145:CA:2017-09-25 | Sep 26, 2017 | Oct 7, 2016 | SAN JOSE, CA | Firm change after gap |