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Advisor at LPL FINANCIAL LLC
BEDMINSTER, NJ
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 |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | Bd affiliated wealth | Nov 8, 2021 | n/a | yes | BEDMINSTER, NJ | Current employment |
| HSBC SECURITIES (USA) INC. | Bd affiliated wealth | Jan 25, 2008 | Nov 9, 2021 | no | NEW YORK, NY|NEW YORK, NY|NEW YORK, NY|NEW YORK, NY|NEW YORK, NY|New York, NY|NEW YORK, NY|NEW YORK, NY|NEW YORK, NY|NEW YORK, NY|NEW YORK, NY|NEW YORK, NY|NEW YORK, NY | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | May 29, 2007 | Jan 24, 2008 | no | NEW YORK, NY|NEW YORK, NY|New York, NY | Previous registration |
| CITICORP INVESTMENT SERVICES | n/a | Dec 5, 2005 | May 29, 2007 | no | NEW YORK, NY|NEW YORK, NY|NEW YORK, NY | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Apr 26, 2005 | Nov 29, 2005 | no | NEW YORK, NY | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jan 30, 2001 | Jan 9, 2004 | no | NEWARK, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| HSBC SECURITIES (USA) INC. | LPL FINANCIAL LLC | Nov 9, 2021 | Nov 8, 2021 | -1 | Firm change | Ibd to ibd |
| CITIGROUP GLOBAL MARKETS INC. | HSBC SECURITIES (USA) INC. | Jan 24, 2008 | Jan 25, 2008 | 1 | Firm change | Other |
| CITICORP INVESTMENT SERVICES | CITIGROUP GLOBAL MARKETS INC. | May 29, 2007 | May 29, 2007 | 0 | Bulk transfer | Other |
| CHASE INVESTMENT SERVICES CORP. | CITICORP INVESTMENT SERVICES | Nov 29, 2005 | Dec 5, 2005 | 6 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | CHASE INVESTMENT SERVICES CORP. | Jan 9, 2004 | Apr 26, 2005 | 473 | Firm change after gap | Other |