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Advisor at RETIREMENT PLANNERS OF AMERICA
PLANO, TX
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 |
|---|---|---|---|---|---|---|
| RETIREMENT PLANNERS OF AMERICA | Independent wealth | May 2, 2022 | n/a | yes | PLANO, TX | Current employment |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Nov 20, 2018 | Feb 24, 2022 | no | PLANO, TX|DALLAS, TX|PLANO, TX|PLANO, TX|PLANO, TX|PLANO, TX|PLANO, TX | Previous registration |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Sep 21, 2015 | Sep 7, 2018 | no | Fort Worth, TX|Southlake, TX | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Sep 21, 2015 | Sep 7, 2018 | no | Westlake, TX|WestLake, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J.P. MORGAN SECURITIES LLC | RETIREMENT PLANNERS OF AMERICA | Feb 24, 2022 | May 2, 2022 | 67 | Firm change | Wirehouse to RIA |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | J.P. MORGAN SECURITIES LLC | Sep 7, 2018 | Nov 20, 2018 | 74 | Firm change | RIA to wirehouse |
| TD AMERITRADE, INC. | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Sep 7, 2018 | Sep 21, 2015 | -1,082 | Channel change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 111514:79:TX:2018-09-07 | Sep 7, 2018 | Nov 20, 2018 | SOUTHLAKE, TX | Firm change |
| 7870:111514:TX:2018-09-07 | Sep 7, 2018 | Sep 21, 2015 | WESTLAKE, TX | Firm change after gap |