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Advisor at LPL FINANCIAL LLC
FORT MILL, SC
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 | Apr 2, 2019 | n/a | yes | FORT MILL, SC|FORT MILL, SC | Current employment |
| INDEPENDENT ADVISOR ALLIANCE, LLC | Independent wealth | Sep 15, 2015 | Mar 31, 2016 | no | Rock Hill, SC | Previous registration |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | Oct 23, 2007 | Sep 16, 2015 | no | ROCK HILL, SC|ROCK HILL, SC | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INDEPENDENT ADVISOR ALLIANCE, LLC | LPL FINANCIAL LLC | Mar 31, 2016 | Apr 2, 2019 | 1,097 | Firm change after gap | Other |
| CETERA ADVISOR NETWORKS LLC | INDEPENDENT ADVISOR ALLIANCE, LLC | Sep 16, 2015 | Sep 15, 2015 | -1 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 13572:168267:SC:2015-09-16 | Sep 16, 2015 | Sep 15, 2015 | ROCK HILL, SC | Firm change |