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Advisor at LPL FINANCIAL LLC
FERGUS FALLS, MN | PELICAN RAPIDS, MN
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 | Feb 28, 2017 | n/a | yes | FERGUS FALLS, MN|PELICAN RAPIDS, MN | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Jan 21, 2014 | Feb 28, 2017 | no | FERGUS FALLS, MN | Previous registration |
| CETERA INVESTMENT SERVICES LLC | Former SEC adviser | Dec 13, 2013 | Jan 21, 2014 | no | PELICAN RAPIDS, MN|FERGUS FALLS, MN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | LPL FINANCIAL LLC | Feb 28, 2017 | Feb 28, 2017 | 0 | Firm change | Other |
| CETERA INVESTMENT SERVICES LLC | CETERA INVESTMENT ADVISERS LLC | Jan 21, 2014 | Jan 21, 2014 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 105644:6413:MN:2017-02-28 | Feb 28, 2017 | Feb 28, 2017 | FERGUS FALLS, MN | Firm change |