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Advisor at CHARLES SCHWAB & CO., INC.
Newport Beach, CA
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 |
|---|---|---|---|---|---|---|
| CHARLES SCHWAB & CO., INC. | National bd RIA | Nov 6, 2024 | n/a | yes | Newport Beach, CA | Current employment |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Sep 9, 2021 | Oct 17, 2024 | no | Irvine, CA|CHICAGO, IL|Charlotte, NC|San Clemente, CA|New York, NY | Previous registration |
| PRISM FINANCIAL CONCEPTS | Former SEC adviser | Jul 6, 2020 | Jul 13, 2021 | no | SCOTTSDALE, AZ | Previous registration |
| VERITY ASSET MANAGEMENT | Independent wealth | Aug 2, 2019 | Dec 26, 2019 | no | Laguna Hills, CA|DURHAM, NC | Previous registration |
| FRIENDS AND FAMILY FINANCIAL LLC | n/a | Oct 9, 2018 | Dec 31, 2020 | no | San Diego, CA|SAN CLEMENTE, CA|SAN CLEMENTE, CA | Previous registration |
| MARINER WEALTH ADVISORS | Former SEC adviser | May 26, 2017 | Aug 14, 2017 | no | OVERLAND PARK, KS | Previous registration |
| MARINER WEALTH ADVISORS | Former SEC adviser | Mar 1, 2017 | Aug 14, 2017 | no | Leawood, KS|OVERLAND PARK, KS | Previous registration |
| FIRSTPOINT FINANCIAL, LLC | Former SEC adviser | Apr 14, 2015 | Mar 22, 2017 | no | OVERLAND PARK, KS | Previous registration |
| Mariner | Bd affiliated wealth | Mar 17, 2015 | Aug 14, 2017 | no | OVERLAND PARK, KS | Previous registration |
| MARINER WEALTH ADVISORS | Former SEC adviser | Oct 29, 2014 | Aug 14, 2017 | no | OVERLAND PARK, KS | Previous registration |
| FIRSTPOINT FINANCIAL, LLC | Former SEC adviser | Dec 10, 2013 | Jan 21, 2016 | no | LEAWOOD, KS | Previous registration |
| BFC PLANNING, INC. | Bd affiliated wealth | Aug 29, 2013 | Dec 3, 2013 | no | IRVINE, CA|CEDAR RAPIDS, IA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Dec 14, 2012 | Sep 25, 2013 | no | IRVINE, CA|IRVINE, CA | Previous registration |
| BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. | Bd affiliated wealth | Feb 3, 2009 | Dec 14, 2012 | no | IRVINE, CA|Cedar Rapids, IA|IRVINE, CA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Jan 1, 2008 | Feb 13, 2009 | no | IRVINE, CA | Previous registration |
| A. G. EDWARDS & SONS, INC. | n/a | May 1, 2006 | Jan 1, 2008 | no | ST. LOUIS, MO|IRVINE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| J.P. MORGAN SECURITIES LLC | CHARLES SCHWAB & CO., INC. | Oct 17, 2024 | Nov 6, 2024 | 20 | Firm change | Wirehouse to ibd |
| PRISM FINANCIAL CONCEPTS | J.P. MORGAN SECURITIES LLC | Jul 13, 2021 | Sep 9, 2021 | 58 | Firm change | Other |
| FRIENDS AND FAMILY FINANCIAL LLC | VERITY ASSET MANAGEMENT | Dec 31, 2020 | Aug 2, 2019 | -517 | Firm change after gap | Other |
| VERITY ASSET MANAGEMENT | PRISM FINANCIAL CONCEPTS | Dec 26, 2019 | Jul 6, 2020 | 193 | Firm change | Other |
| MARINER WEALTH ADVISORS | MARINER WEALTH ADVISORS | Aug 14, 2017 | May 26, 2017 | -80 | Channel change | Other |
| Mariner | FIRSTPOINT FINANCIAL, LLC | Aug 14, 2017 | Apr 14, 2015 | -853 | Firm change after gap | Other |
| MARINER WEALTH ADVISORS | Mariner | Aug 14, 2017 | Mar 17, 2015 | -881 | Firm change after gap | Other |
| MARINER WEALTH ADVISORS | FRIENDS AND FAMILY FINANCIAL LLC | Aug 14, 2017 | Oct 9, 2018 | 421 | Firm change after gap | Other |
| FIRSTPOINT FINANCIAL, LLC | MARINER WEALTH ADVISORS | Mar 22, 2017 | Mar 1, 2017 | -21 | Channel change | Other |
| FIRSTPOINT FINANCIAL, LLC | MARINER WEALTH ADVISORS | Jan 21, 2016 | Oct 29, 2014 | -449 | Channel change | Other |
| BFC PLANNING, INC. | FIRSTPOINT FINANCIAL, LLC | Dec 3, 2013 | Dec 10, 2013 | 7 | Firm change | Other |
| LPL FINANCIAL LLC | BFC PLANNING, INC. | Sep 25, 2013 | Aug 29, 2013 | -27 | Firm change | Other |
| BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. | LPL FINANCIAL LLC | Dec 14, 2012 | Dec 14, 2012 | 0 | Firm change | Other |
| WELLS FARGO ADVISORS | BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC. | Feb 13, 2009 | Feb 3, 2009 | -10 | Firm change | Other |
| A. G. EDWARDS & SONS, INC. | WELLS FARGO ADVISORS | Jan 1, 2008 | Jan 1, 2008 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 168793:170703:KS:2016-01-21 | Jan 21, 2016 | Oct 29, 2014 | LEAWOOD, KS | Firm change after gap |