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Advisor at LSL FINANCIAL SERVICES, LLC
SAN JUAN CAPISTRANO, 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 |
|---|---|---|---|---|---|---|
| LSL FINANCIAL SERVICES, LLC | State registered | Mar 21, 2019 | n/a | yes | SAN JUAN CAPISTRANO, CA | Current employment |
| ELLS FINANCIAL SERVICES LLC | State registered | Nov 24, 2015 | Jul 25, 2019 | no | ANAHEIM, CA | Previous registration |
| OPPENHEIMER ASSET MANAGEMENT | Bd affiliated wealth | Apr 15, 2003 | Nov 12, 2007 | no | NEW YORK, NY | Previous registration |
| OPPENHEIMER & CO. INC. | Bd affiliated wealth | Jan 3, 2003 | Jan 5, 2016 | no | SANTA ANA, CA|NEW YORK, NY|NEW YORK, NY | Previous registration |
| CIBC WORLD MARKETS CORP. | n/a | Mar 12, 2002 | Jan 3, 2003 | no | NEW YORK, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| ELLS FINANCIAL SERVICES LLC | LSL FINANCIAL SERVICES, LLC | Jul 25, 2019 | Mar 21, 2019 | -126 | Firm change after gap | Other |
| OPPENHEIMER & CO. INC. | OPPENHEIMER ASSET MANAGEMENT | Jan 5, 2016 | Apr 15, 2003 | -4,648 | Firm change after gap | Other |
| OPPENHEIMER ASSET MANAGEMENT | ELLS FINANCIAL SERVICES LLC | Nov 12, 2007 | Nov 24, 2015 | 2,934 | Firm change after gap | Other |
| CIBC WORLD MARKETS CORP. | OPPENHEIMER & CO. INC. | Jan 3, 2003 | Jan 3, 2003 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 175408:300221:CA:2019-07-25 | Jul 25, 2019 | Mar 21, 2019 | ANAHEIM, CA | Firm change after gap |
| 249:105559:NY:2016-01-05 | Jan 5, 2016 | Apr 15, 2003 | NEW YORK, NY | Firm change after gap |