DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at LPL FINANCIAL LLC
FRANKFORT, IL
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 23, 2025 | n/a | yes | FRANKFORT, IL | Current employment |
| WINTRUST INVESTMENTS | Former SEC adviser | Aug 18, 2017 | Jan 23, 2025 | no | NAPERVILLE, IL|NAPERVILLE, IL|CHICAGO, IL | Previous registration |
| U.S. BANCORP INVESTMENTS, INC. | Former SEC adviser | Jun 30, 2011 | Sep 1, 2017 | no | Bolingbrook, IL|Lemont, IL|Bolingbrook, IL|Naperville, IL|AURORA, IL|BOLINGBROOK, IL|OSWEGO, IL|Plainfield, IL|Niles, IL|AURORA, IL|Naperville, IL|Chicago, IL|LOCKPORT, IL|Chicago, IL|Lemont, IL|Bolingbrook, IL|NAPERVILLE, IL|LOCKPORT, IL|Naperville, IL|Frankfort, IL|Chicago, IL|CHICAGO, IL|Chicago, IL|Blue Island, IL|Burbank, IL|Chicago, IL|Homewood, IL|Bridgeview, IL|ORLAND PARK, IL|FLOSSMOOR, IL|Orland Hills, IL|Chicago, IL|Matteson, IL|Homewood, IL|ORLAND PARK, IL|CHICAGO, IL | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Feb 20, 2007 | Jun 30, 2011 | no | SURGAR GROVE, IL|OSWEGO, IL|YORKVILLE, IL|AURORA, IL|WESTCHESTER, IL|OSWEGO, IL|AURORA, IL|NORTH AURORA, IL|AURORA, IL|WHEATON, IL | Previous registration |
| BMO HARRIS FINANCIAL ADVISORS, INC | Former SEC adviser | Dec 14, 2005 | Feb 20, 2007 | no | OAKBROOK TERRACE, IL | Previous registration |
| E*TRADE CAPITAL MANAGEMENT, LLC | Former SEC adviser | Aug 24, 2005 | Dec 31, 2005 | no | OAK BROOK TERRACE, IL | Previous registration |
| LASALLE FINANCIAL SERVICES, INC. | n/a | Jan 30, 2003 | Aug 18, 2005 | no | CHICAGO, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WINTRUST INVESTMENTS | LPL FINANCIAL LLC | Jan 23, 2025 | Jan 23, 2025 | 0 | Bulk transfer | RIA to ibd |
| U.S. BANCORP INVESTMENTS, INC. | WINTRUST INVESTMENTS | Sep 1, 2017 | Aug 18, 2017 | -14 | Firm change | Other |
| CHASE INVESTMENT SERVICES CORP. | U.S. BANCORP INVESTMENTS, INC. | Jun 30, 2011 | Jun 30, 2011 | 0 | Firm change | Other |
| BMO HARRIS FINANCIAL ADVISORS, INC | CHASE INVESTMENT SERVICES CORP. | Feb 20, 2007 | Feb 20, 2007 | 0 | Firm change | Other |
| E*TRADE CAPITAL MANAGEMENT, LLC | BMO HARRIS FINANCIAL ADVISORS, INC | Dec 31, 2005 | Dec 14, 2005 | -17 | Bulk transfer | Other |
| LASALLE FINANCIAL SERVICES, INC. | E*TRADE CAPITAL MANAGEMENT, LLC | Aug 18, 2005 | Aug 24, 2005 | 6 | Firm change | Other |