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Advisor at ALLWORTH FINANCIAL, L.P.
Campbell, CA | FOLSOM, 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 |
|---|---|---|---|---|---|---|
| ALLWORTH FINANCIAL, L.P. | Bd affiliated wealth | May 29, 2024 | n/a | yes | FOLSOM, CA|Campbell, CA | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Sep 8, 2009 | Nov 25, 2009 | no | HALF MOON BAY, CA | Previous registration |
| ASSOCIATED SECURITIES CORP. | n/a | Jan 6, 2009 | Sep 8, 2009 | no | BOSTON, MA|HALF MOON BAY, CA | Previous registration |
| FSC SECURITIES CORPORATION | Former SEC adviser | Sep 3, 2002 | Dec 31, 2008 | no | HALF MOON BAY, CA|ATLANTA, GA | Previous registration |
| PONDER FINANCIAL GROUP | Former SEC adviser | Jul 8, 1997 | Aug 5, 2023 | no | HALF MOON BAY, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PONDER FINANCIAL GROUP | FSC SECURITIES CORPORATION | Aug 5, 2023 | Sep 3, 2002 | -7,641 | Firm change after gap | Other |
| LPL FINANCIAL LLC | ALLWORTH FINANCIAL, L.P. | Nov 25, 2009 | May 29, 2024 | 5,299 | Firm change after gap | Other |
| ASSOCIATED SECURITIES CORP. | LPL FINANCIAL LLC | Sep 8, 2009 | Sep 8, 2009 | 0 | Firm change | Other |
| FSC SECURITIES CORPORATION | ASSOCIATED SECURITIES CORP. | Dec 31, 2008 | Jan 6, 2009 | 6 | Firm change | Other |