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Advisor at LPL FINANCIAL LLC
CANANDAIGUA, NY | PALMYRA, NY | Clifton Springs, NY | NEWARK, NY | GENEVA, 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 FINANCIAL LLC | Bd affiliated wealth | Feb 14, 2018 | n/a | yes | CANANDAIGUA, NY|GENEVA, NY|NEWARK, NY|PALMYRA, NY|Clifton Springs, NY | Current employment |
| INVEST FINANCIAL CORPORATION | Former SEC adviser | Jul 18, 2012 | Feb 21, 2018 | no | NEWARK, NY|PALMYRA, NY|CLIFTON SPRINGS, NY|PHELPS, NY|PALMYRA, NY|NEWARK, NY|APPLETON, WI|AVON, NY|GENESEO, NY|CANANDAIGUA, NY|APPLETON, WI | Previous registration |
| HSBC SECURITIES (USA) INC. | Bd affiliated wealth | Dec 13, 2007 | Jul 18, 2012 | no | NEWARK, NY|PALMYRA, NY|SODUS, NY|WATKINS GLEN, NY|GENESEO, NY|AVON, NY|SPRINGVILLE, NY|GOWANDA, NY|WESTFIELD, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INVEST FINANCIAL CORPORATION | LPL FINANCIAL LLC | Feb 21, 2018 | Feb 14, 2018 | -7 | Bulk transfer | Other |
| HSBC SECURITIES (USA) INC. | INVEST FINANCIAL CORPORATION | Jul 18, 2012 | Jul 18, 2012 | 0 | Firm change | Other |