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Advisor at LPL FINANCIAL LLC
SPEARFISH, SD | RAPID CITY, SD
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 | Dec 10, 2019 | n/a | yes | RAPID CITY, SD|SPEARFISH, SD | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Jul 31, 2015 | Dec 9, 2019 | no | RAPID CITY, SD|RAPID CITY, SD | Previous registration |
| COMPASS FINANCIAL ADVISORS LLC | Independent wealth | Dec 12, 2007 | Aug 20, 2012 | no | RAPID CITY, SD|RAPID CITY, SD | Previous registration |
| FINTEGRA, LLC | Former SEC adviser | Nov 30, 2007 | Jul 28, 2015 | no | RAPID CITY, SD|RAPID CITY, SD|MINNEAPOLIS, MN|RAPID CITY, SD | Previous registration |
| PURPLE WEALTH, LLC | n/a | Nov 23, 2005 | Nov 19, 2007 | no | RAPID CITY, SD | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Nov 14, 2005 | Nov 26, 2007 | no | RAPID CITY, SD|SPEARFISH, SD | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jun 25, 2004 | Nov 8, 2005 | no | RAPID CITY, SD | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | LPL FINANCIAL LLC | Dec 9, 2019 | Dec 10, 2019 | 1 | Firm change | Ibd to ibd |
| FINTEGRA, LLC | COMPASS FINANCIAL ADVISORS LLC | Jul 28, 2015 | Dec 12, 2007 | -2,785 | Firm change after gap | Other |
| COMPASS FINANCIAL ADVISORS LLC | SECURITIES AMERICA ADVISORS, INC. | Aug 20, 2012 | Jul 31, 2015 | 1,075 | Firm change after gap | Other |
| LPL FINANCIAL LLC | PURPLE WEALTH, LLC | Nov 26, 2007 | Nov 23, 2005 | -733 | Firm change after gap | Other |
| PURPLE WEALTH, LLC | FINTEGRA, LLC | Nov 19, 2007 | Nov 30, 2007 | 11 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | LPL FINANCIAL LLC | Nov 8, 2005 | Nov 14, 2005 | 6 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 110518:6413:SD:2019-12-09 | Dec 9, 2019 | Dec 10, 2019 | RAPID CITY, SD | Firm change |