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Advisor at LPL ENTERPRISE, LLC
WILLIAMSVILLE, NY | SYRACUSE, NY
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 ENTERPRISE, LLC | Bd affiliated wealth | Nov 14, 2024 | n/a | yes | SYRACUSE, NY|WILLIAMSVILLE, NY | Current employment |
| PRUCO SECURITIES, LLC | No RAUM reported | Aug 1, 2023 | Nov 14, 2024 | no | Williamsville, NY|Syracuse, NY|Williamsville, NY | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Jul 18, 2023 | Aug 1, 2023 | no | Buffalo, NY|Depew, NY | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Sep 30, 2021 | Jul 25, 2023 | no | WILLIAMSVILLE, NY | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jun 9, 2021 | Nov 3, 2021 | no | BUFFALO, NY|BUFFALO, NY|BUFFALO, NY|BUFFALO, NY|BUFFALO, NY|BUFFALO, NY|BUFFALO, NY|CHEEKTOWAGA, NY | Previous registration |
| M&T SECURITIES, INC. | n/a | May 4, 2016 | Jun 9, 2021 | no | CHEEKTOWAGA, NY|BUFFALO, NY|EAST AMHERST, NY|CLARENCE, NY|Cheektowaga, NY|Williamsport, PA|BUFFALO, NY|Buffalo, NY|Cheektowaga, NY|BUFFALO, NY|BUFFALO, NY|BUFFALO, NY|BUFFALO, NY|BUFFALO, NY|BUFFALO, NY|BALTIMORE, MD | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | May 15, 2015 | May 9, 2016 | no | AMHERST, NY|GRAND ISLAND, NY|NIAGARA FALLS, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PRUCO SECURITIES, LLC | LPL ENTERPRISE, LLC | Nov 14, 2024 | Nov 14, 2024 | 0 | Bulk transfer | Ibd to new firm |
| J.P. MORGAN SECURITIES LLC | PRUCO SECURITIES, LLC | Aug 1, 2023 | Aug 1, 2023 | 0 | Firm change | Wirehouse to ibd |
| WELLS FARGO ADVISORS | J.P. MORGAN SECURITIES LLC | Jul 25, 2023 | Jul 18, 2023 | -7 | Firm change | Wirehouse to wirehouse |
| LPL FINANCIAL LLC | WELLS FARGO ADVISORS | Nov 3, 2021 | Sep 30, 2021 | -34 | Firm change after gap | Ibd to wirehouse |
| M&T SECURITIES, INC. | LPL FINANCIAL LLC | Jun 9, 2021 | Jun 9, 2021 | 0 | Bulk transfer | Other |
| LPL FINANCIAL LLC | M&T SECURITIES, INC. | May 9, 2016 | May 4, 2016 | -5 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:19616:NY:2021-11-03 | Nov 3, 2021 | Sep 30, 2021 | CHEEKTOWAGA, NY | Firm change after gap |