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Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Tacoma, WA
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 |
|---|---|---|---|---|---|---|
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | Feb 28, 2024 | n/a | yes | Tacoma, WA | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Feb 19, 2020 | Oct 18, 2023 | no | TACOMA, WA | Previous registration |
| RBC CAPITAL MARKETS, LLC | National bd RIA | Jan 3, 2017 | Apr 3, 2018 | no | EAGLE, ID | Previous registration |
| YELLOWSTONE PARTNERS | Former SEC adviser | Dec 18, 2009 | Apr 10, 2017 | no | CEDAR CITY, UT|BOISE, ID | Previous registration |
| ZIONS CAPITAL ADVISORS, INC. | Institutional manager | Oct 4, 2006 | Oct 26, 2009 | no | CEDAR CITY, UT|SALT LAKE CITY, UT | Previous registration |
| ZIONS DIRECT, INC. | n/a | Apr 3, 2006 | Oct 3, 2006 | no | CEDAR CITY, UT|ST. GEORGE, UT|CEDAR CITY, UT|SALT LAKE CITY, UT | Previous registration |
| WELLS FARGO INVESTMENTS, LLC | n/a | May 14, 2004 | Aug 2, 2005 | no | CEDAR CITY, UT | Previous registration |
| WELLS FARGO INVESTMENTS, LLC | n/a | Sep 11, 2002 | May 1, 2003 | no | MISSOULA, MT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Oct 18, 2023 | Feb 28, 2024 | 133 | Bulk transfer | Ibd to ibd |
| RBC CAPITAL MARKETS, LLC | CETERA INVESTMENT ADVISERS LLC | Apr 3, 2018 | Feb 19, 2020 | 687 | Firm change after gap | Ibd to ibd |
| YELLOWSTONE PARTNERS | RBC CAPITAL MARKETS, LLC | Apr 10, 2017 | Jan 3, 2017 | -97 | Firm change after gap | Other |
| ZIONS CAPITAL ADVISORS, INC. | YELLOWSTONE PARTNERS | Oct 26, 2009 | Dec 18, 2009 | 53 | Firm change | Other |
| ZIONS DIRECT, INC. | ZIONS CAPITAL ADVISORS, INC. | Oct 3, 2006 | Oct 4, 2006 | 1 | Firm change | Other |
| WELLS FARGO INVESTMENTS, LLC | ZIONS DIRECT, INC. | Aug 2, 2005 | Apr 3, 2006 | 244 | Firm change | Other |