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Advisor at RBC CAPITAL MARKETS, LLC
Lafayette, CA | SAN FRANCISCO, CA | MINNEAPOLIS, MN
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 |
|---|---|---|---|---|---|---|
| RBC CAPITAL MARKETS, LLC | National bd RIA | Aug 3, 2023 | n/a | yes | SAN FRANCISCO, CA|MINNEAPOLIS, MN|Lafayette, CA | Current employment |
| J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | Former SEC adviser | Apr 6, 2018 | Jul 21, 2023 | no | San Francisco, CA|San Francisco, CA | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Jul 13, 2017 | Mar 28, 2018 | no | ROSEVILLE, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Feb 14, 2017 | Jul 5, 2017 | no | ROSEVILLE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | RBC CAPITAL MARKETS, LLC | Jul 21, 2023 | Aug 3, 2023 | 13 | Firm change | Ibd to ibd |
| AMERIPRISE FINANCIAL SERVICES, LLC | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | Mar 28, 2018 | Apr 6, 2018 | 9 | Firm change | Ibd to RIA |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | AMERIPRISE FINANCIAL SERVICES, LLC | Jul 5, 2017 | Jul 13, 2017 | 8 | Firm change | Wirehouse to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:6363:CA:2017-06-29 | Jul 5, 2017 | Jul 13, 2017 | ROSEVILLE, CA | Firm change |