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Advisor at HILLTOP SECURITIES INC.
Roseville, 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 |
|---|---|---|---|---|---|---|
| HILLTOP SECURITIES INC. | Bd affiliated wealth | Nov 18, 2008 | n/a | yes | Roseville, CA | Current employment |
| M.L. STERN & CO., LLC. | n/a | Jan 27, 2004 | Dec 11, 2008 | no | SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M.L. STERN & CO., LLC. | HILLTOP SECURITIES INC. | Dec 11, 2008 | Nov 18, 2008 | -23 | Bulk transfer | Other |