DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at LPL FINANCIAL LLC
ALBUQUERQUE, NM
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 | May 15, 2025 | n/a | yes | ALBUQUERQUE, NM | Current employment |
| CUSO FINANCIAL SERVICES, L.P. | Former SEC adviser | Jun 2, 2021 | May 15, 2025 | no | Albuquerque, NM | Previous registration |
| CUNA BROKERAGE SERVICES, INC. | Former SEC adviser | Mar 31, 2015 | Jun 8, 2021 | no | Rio Rancho, NM|WAVERLY, IA|Albuquerque, NM | Previous registration |
| GWN SECURITIES INC. | Bd affiliated wealth | Feb 7, 2011 | May 17, 2013 | no | RIO RANCHO, NM|PALM BEACH GARDENS, FL|PALM BEACH GARDENS, FL|ALBUQUERQUE, NM | Previous registration |
| WADDELL & REED | Former SEC adviser | Jul 19, 2010 | Jan 31, 2011 | no | ALBUQUERQUE, NM|SANTA FE, NM | Previous registration |
| VALIC FINANCIAL ADVISORS, INC. | Bd affiliated wealth | Oct 23, 2002 | Apr 17, 2009 | no | SANTA FE, NM|TUCSON, AZ|TUCSON, AZ|ALBUQUERQUE, NM|ALBUQUERQUE, NM|HOUSTON, TX | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Aug 2, 1999 | Sep 25, 2002 | no | SANTA FE, NM | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CUSO FINANCIAL SERVICES, L.P. | LPL FINANCIAL LLC | May 15, 2025 | May 15, 2025 | 0 | Bulk transfer | Ibd to ibd |
| CUNA BROKERAGE SERVICES, INC. | CUSO FINANCIAL SERVICES, L.P. | Jun 8, 2021 | Jun 2, 2021 | -6 | Firm change | Ibd to ibd |
| GWN SECURITIES INC. | CUNA BROKERAGE SERVICES, INC. | May 17, 2013 | Mar 31, 2015 | 683 | Firm change after gap | Other |
| WADDELL & REED | GWN SECURITIES INC. | Jan 31, 2011 | Feb 7, 2011 | 7 | Firm change | Other |
| VALIC FINANCIAL ADVISORS, INC. | WADDELL & REED | Apr 17, 2009 | Jul 19, 2010 | 458 | Firm change after gap | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | VALIC FINANCIAL ADVISORS, INC. | Sep 25, 2002 | Oct 23, 2002 | 28 | Firm change | Other |