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Advisor at LPL FINANCIAL LLC
NEW PROVIDENCE, NJ
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 | Nov 29, 2017 | n/a | yes | NEW PROVIDENCE, NJ | Current employment |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Aug 29, 2012 | Nov 29, 2017 | no | Manahawkin, NJ|MURRAY HILL, NJ|LOS ANGELES, CA | Previous registration |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Feb 28, 2007 | Aug 31, 2012 | no | MURRAY HILL, NJ | Previous registration |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Oct 24, 2005 | Jan 24, 2007 | no | MURRAY HILL, NJ | Previous registration |
| C.J.M. ASSET MANAGEMENT, LLC | n/a | Jun 5, 2002 | Oct 24, 2005 | no | POMPTON LAKES, NJ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | LPL FINANCIAL LLC | Nov 29, 2017 | Nov 29, 2017 | 0 | Firm change | Other |
| CETERA INVESTMENT ADVISERS LLC | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Aug 31, 2012 | Aug 29, 2012 | -2 | Firm change | Other |
| C.J.M. ASSET MANAGEMENT, LLC | CETERA INVESTMENT ADVISERS LLC | Oct 24, 2005 | Oct 24, 2005 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:6413:CA:2017-11-29 | Nov 29, 2017 | Nov 29, 2017 | LOS ANGELES, CA | Firm change |