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Advisor at WELLS FARGO ADVISORS
ROCHESTER, NY | NEWBURGH, NY
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 |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | Wirehouse | Jun 3, 2016 | n/a | yes | NEWBURGH, NY|ROCHESTER, NY | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | May 15, 2012 | Jun 15, 2016 | no | LOCKPORT, NY|HIGHLAND FALLS, NY|MIDDLETOWN, NY|NEW WINDSOR, NY|WAPPINGERS FALLS, NY|LIBERTY, NY | Previous registration |
| HSBC SECURITIES (USA) INC. | Bd affiliated wealth | Jul 5, 2006 | May 15, 2012 | no | POUGHKEEPSIE, NY|STONY POINT, NY|NEWBURGH, NY|HIGHLAND FALLS, NY|VAILS GATE, NY|NEWBURGH, NY|WAPPINGERS FALLS, NY|MIDDLETOWN, NY|MIDDLETOWN, NY|WAPPINGERS FALLS, NY | Previous registration |
| SIGNATOR INVESTORS, INC. | Former SEC adviser | Sep 10, 2001 | Sep 2, 2004 | no | ALBANY, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | WELLS FARGO ADVISORS | Jun 15, 2016 | Jun 3, 2016 | -12 | Firm change | Other |
| HSBC SECURITIES (USA) INC. | LPL FINANCIAL LLC | May 15, 2012 | May 15, 2012 | 0 | Bulk transfer | Other |
| SIGNATOR INVESTORS, INC. | HSBC SECURITIES (USA) INC. | Sep 2, 2004 | Jul 5, 2006 | 671 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:11025:NY:2016-06-15 | Jun 15, 2016 | Jun 3, 2016 | LIBERTY, NY | Firm change |