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Advisor at LPL FINANCIAL LLC
DUNCAN, OK
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 | Oct 16, 2023 | n/a | yes | DUNCAN, OK | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Jun 29, 2023 | Oct 23, 2023 | no | ADDISON, TX|DUNCAN, OK | Previous registration |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | Apr 20, 2022 | Jun 29, 2023 | no | DUNCAN, OK|DUNCAN, OK|ADDISON, TX | Previous registration |
| FIRST FINANCIAL EQUITY CORPORATION | Former SEC adviser | Nov 17, 2020 | Apr 20, 2022 | no | Duncan, OK|Duncan, OK|Duncan, OK|ADDISON, TX | Previous registration |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | Jan 2, 2009 | Dec 8, 2020 | no | DUNCAN, OK|DUNCAN, OK | Previous registration |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | n/a | Jan 24, 2007 | Jan 2, 2009 | no | DUNCAN, OK|OKLAHOMA CITY, OK|Oklahoma City, OK | Previous registration |
| INVESTMENT CENTERS OF AMERICA, INC. | Former SEC adviser | Sep 12, 2000 | Jan 23, 2007 | no | DUNCAN, OK|DUNCAN, OK|OKLAHOMA CITY, OK | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | LPL FINANCIAL LLC | Oct 23, 2023 | Oct 16, 2023 | -7 | Firm change | Ibd to ibd |
| CETERA ADVISOR NETWORKS LLC | CETERA INVESTMENT ADVISERS LLC | Jun 29, 2023 | Jun 29, 2023 | 0 | Bulk transfer | Ibd to ibd |
| FIRST FINANCIAL EQUITY CORPORATION | CETERA ADVISOR NETWORKS LLC | Apr 20, 2022 | Apr 20, 2022 | 0 | Firm change | Ibd to ibd |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | FIRST FINANCIAL EQUITY CORPORATION | Dec 8, 2020 | Nov 17, 2020 | -21 | Firm change | Ibd to ibd |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Jan 2, 2009 | Jan 2, 2009 | 0 | Bulk transfer | Other |
| INVESTMENT CENTERS OF AMERICA, INC. | RAYMOND JAMES FINANCIAL SERVICES, INC. | Jan 23, 2007 | Jan 24, 2007 | 1 | Firm change | Other |