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Advisor at LPL FINANCIAL LLC
REDWOOD CITY, 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 |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | Bd affiliated wealth | Jan 1, 2025 | n/a | yes | REDWOOD CITY, CA | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Nov 12, 2020 | Jun 14, 2021 | no | REDWOOD SHORES, CA | Previous registration |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | Aug 26, 2014 | Nov 12, 2020 | no | SAN DIEGO, CA|REDWOOD SHORES, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | LPL FINANCIAL LLC | Jun 14, 2021 | Jan 1, 2025 | 1,297 | Firm change after gap | Ibd to ibd |
| FIRST ALLIED ADVISORY SERVICES, INC. | CETERA INVESTMENT ADVISERS LLC | Nov 12, 2020 | Nov 12, 2020 | 0 | Bulk transfer | Ibd to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 105644:6413:CA:2021-06-14 | Jun 14, 2021 | Jan 1, 2025 | REDWOOD SHORES, CA | Firm change after gap |