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Advisor at LPL FINANCIAL LLC
SANTA ROSA, 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 | Apr 19, 2012 | n/a | yes | SANTA ROSA, CA | Current employment |
| WOODBURY FINANCIAL SERVICES, INC. | Former SEC adviser | Apr 5, 2010 | Apr 20, 2012 | no | SANTA ROSA, CA|SANTA ROSA, CA|SAN FRANCISCO, CA | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Feb 25, 1999 | Oct 14, 2005 | no | LAFYETTE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WOODBURY FINANCIAL SERVICES, INC. | LPL FINANCIAL LLC | Apr 20, 2012 | Apr 19, 2012 | -1 | Firm change | Other |
| MSI FINANCIAL SERVICES, INC. | WOODBURY FINANCIAL SERVICES, INC. | Oct 14, 2005 | Apr 5, 2010 | 1,634 | Firm change after gap | Other |