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Advisor at MERCER GLOBAL ADVISORS INC.
DENVER, CO | Los Angeles, 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 |
|---|---|---|---|---|---|---|
| MERCER GLOBAL ADVISORS INC. | Independent wealth | Jul 21, 2020 | n/a | yes | Los Angeles, CA|DENVER, CO | Current employment |
| ARGOSY WEALTH MANAGEMENT | Former SEC adviser | Jun 3, 2019 | Mar 12, 2021 | no | LOS ANGELES, CA | Previous registration |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Apr 17, 2018 | May 8, 2019 | no | LOS ANGELES, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Jan 17, 2018 | Apr 3, 2018 | no | WESTLAKE VILLAGE, CA | Previous registration |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Jan 8, 2015 | Dec 15, 2017 | no | LOS ANGELES, CA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jun 2, 2014 | Dec 1, 2014 | no | TORRANCE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| ARGOSY WEALTH MANAGEMENT | MERCER GLOBAL ADVISORS INC. | Mar 12, 2021 | Jul 21, 2020 | -234 | Firm change after gap | RIA to RIA |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | ARGOSY WEALTH MANAGEMENT | May 8, 2019 | Jun 3, 2019 | 26 | Firm change | Other |
| UBS FINANCIAL SERVICES INC. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | Apr 3, 2018 | Apr 17, 2018 | 14 | Firm change | Other |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | UBS FINANCIAL SERVICES INC. | Dec 15, 2017 | Jan 17, 2018 | 33 | Firm change | Other |
| LPL FINANCIAL LLC | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | Dec 1, 2014 | Jan 8, 2015 | 38 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 175028:147363:CA:2021-03-11 | Mar 12, 2021 | Jul 21, 2020 | LOS ANGELES, CA | Firm change after gap |