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Advisor at STONEX ADVISORS INC.
MIAMI, FL | BIRMINGHAM, AL
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 |
|---|---|---|---|---|---|---|
| STONEX ADVISORS INC. | Bd affiliated wealth | Nov 23, 2020 | n/a | yes | BIRMINGHAM, AL|MIAMI, FL | Current employment |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Aug 29, 2013 | Feb 3, 2017 | no | New York, NY | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Oct 1, 2012 | Jul 30, 2013 | no | HOUSTON, TX|NEW YORK, NY | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Feb 29, 2012 | Oct 1, 2012 | no | HOUSTON, TX | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jan 1, 2010 | Feb 24, 2012 | no | WEEHAWKEN, NJ | Previous registration |
| UBS INTERNATIONAL INC. | n/a | Jun 3, 2002 | Jan 1, 2010 | no | CORAL GABLES, FL|NEW YORK, NY|MCALLEN, TX|HOUSTON, TX | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Mar 12, 1998 | Jun 1, 2002 | no | CORAL GABLES, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CITIGROUP GLOBAL MARKETS INC. | STONEX ADVISORS INC. | Feb 3, 2017 | Nov 23, 2020 | 1,389 | Firm change after gap | Other |
| J.P. MORGAN SECURITIES LLC | CITIGROUP GLOBAL MARKETS INC. | Jul 30, 2013 | Aug 29, 2013 | 30 | Firm change | Other |
| CHASE INVESTMENT SERVICES CORP. | J.P. MORGAN SECURITIES LLC | Oct 1, 2012 | Oct 1, 2012 | 0 | Bulk transfer | Other |
| UBS FINANCIAL SERVICES INC. | CHASE INVESTMENT SERVICES CORP. | Feb 24, 2012 | Feb 29, 2012 | 5 | Firm change | Other |
| UBS INTERNATIONAL INC. | UBS FINANCIAL SERVICES INC. | Jan 1, 2010 | Jan 1, 2010 | 0 | Bulk transfer | Other |
| UBS FINANCIAL SERVICES INC. | UBS INTERNATIONAL INC. | Jun 1, 2002 | Jun 3, 2002 | 2 | Bulk transfer | Other |