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Advisor at MORGAN STANLEY
Dallas, TX
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 |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | Wirehouse | May 28, 2021 | n/a | yes | Dallas, TX | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jun 10, 2009 | Jun 1, 2021 | no | DALLAS, TX | Previous registration |
| SANDERS MORRIS LLC | Independent wealth | Jun 23, 2006 | May 18, 2009 | no | DALLAS, TX|DALLAS, TX | Previous registration |
| SMH CAPITAL ADVISORS LLC | Institutional manager | Apr 14, 2004 | Dec 31, 2006 | no | DALLAS, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MORGAN STANLEY | Jun 1, 2021 | May 28, 2021 | -4 | Firm change | Wirehouse to wirehouse |
| SANDERS MORRIS LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | May 18, 2009 | Jun 10, 2009 | 23 | Firm change | Other |
| SMH CAPITAL ADVISORS LLC | SANDERS MORRIS LLC | Dec 31, 2006 | Jun 23, 2006 | -191 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:149777:TX:2021-06-01 | Jun 1, 2021 | May 28, 2021 | DALLAS, TX | Firm change |