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Advisor at LPL FINANCIAL LLC
SAN MATEO, 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 |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | Bd affiliated wealth | May 26, 2009 | n/a | yes | SAN MATEO, CA | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jul 3, 2002 | May 27, 2009 | no | SAN MATEO, CA|SAN MATEO, CA | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Aug 14, 2000 | Jul 9, 2002 | no | SAN MATEO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | LPL FINANCIAL LLC | May 27, 2009 | May 26, 2009 | -1 | Firm change | Other |
| MORGAN STANLEY DW INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Jul 9, 2002 | Jul 3, 2002 | -6 | Firm change | Other |