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Advisor at LPL FINANCIAL LLC
SALINA, KS
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 | Aug 3, 2020 | n/a | yes | SALINA, KS | Current employment |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | Dec 9, 2013 | Aug 4, 2020 | no | SALINA, KS | Previous registration |
| SII INVESTMENTS, INC. | Former SEC adviser | Oct 26, 2011 | Dec 9, 2013 | no | SALINA, KS | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 23, 2009 | Oct 31, 2011 | no | SALINA, KS|SALINA, KS | Previous registration |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Aug 15, 2003 | Oct 23, 2009 | no | SALINA, KS|SALINA, KS | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FIRST ALLIED ADVISORY SERVICES, INC. | LPL FINANCIAL LLC | Aug 4, 2020 | Aug 3, 2020 | -1 | Firm change | Ibd to ibd |
| SII INVESTMENTS, INC. | FIRST ALLIED ADVISORY SERVICES, INC. | Dec 9, 2013 | Dec 9, 2013 | 0 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | SII INVESTMENTS, INC. | Oct 31, 2011 | Oct 26, 2011 | -5 | Firm change | Other |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |