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Advisor at WELLS FARGO ADVISORS
CORTE MADERA, 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 |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | Wirehouse | Aug 18, 2014 | n/a | yes | CORTE MADERA, CA | Current employment |
| POLARIS WEALTH ADVISORY GROUP | Former SEC adviser | Oct 12, 2012 | Aug 18, 2014 | no | SAN RAFAEL, CA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Jan 3, 2011 | Sep 27, 2012 | no | CORTE MADERA, CA | Previous registration |
| WELLS FARGO INVESTMENTS, LLC | n/a | Aug 29, 2008 | Jan 3, 2011 | no | CORTE MADERA, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 14, 2004 | Sep 3, 2008 | no | MILL VALLEY, CA|SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| POLARIS WEALTH ADVISORY GROUP | WELLS FARGO ADVISORS | Aug 18, 2014 | Aug 18, 2014 | 0 | Firm change | Other |
| WELLS FARGO ADVISORS | POLARIS WEALTH ADVISORY GROUP | Sep 27, 2012 | Oct 12, 2012 | 15 | Firm change | Wirehouse to new firm |
| WELLS FARGO INVESTMENTS, LLC | WELLS FARGO ADVISORS | Jan 3, 2011 | Jan 3, 2011 | 0 | Bulk transfer | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | WELLS FARGO INVESTMENTS, LLC | Sep 3, 2008 | Aug 29, 2008 | -5 | Firm change | Other |