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Advisor at LPL FINANCIAL LLC
MOUNTAIN VIEW, CA | SAN FRANCISCO, CA | FREMONT, CA | HAYWARD, CA | MILLBRAE, 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 | Apr 3, 2020 | n/a | yes | MOUNTAIN VIEW, CA|FREMONT, CA|SAN FRANCISCO, CA|MILLBRAE, CA|HAYWARD, CA | Current employment |
| U.S. BANCORP INVESTMENTS, INC. | Former SEC adviser | May 2, 2013 | Apr 7, 2020 | no | Millbrae, CA | Previous registration |
| WADDELL & REED | Former SEC adviser | Feb 16, 2011 | Jan 18, 2013 | no | SACRAMENTO, CA|STOCKTON, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| U.S. BANCORP INVESTMENTS, INC. | LPL FINANCIAL LLC | Apr 7, 2020 | Apr 3, 2020 | -4 | Firm change | Ibd to ibd |
| WADDELL & REED | U.S. BANCORP INVESTMENTS, INC. | Jan 18, 2013 | May 2, 2013 | 104 | Firm change | Other |