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Advisor at LPL FINANCIAL LLC
PEORIA, AZ
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 | Dec 9, 2020 | n/a | yes | PEORIA, AZ | Current employment |
| DIVERSIFIED FINANCIAL ADVISORY GROUP, INC. | n/a | Feb 8, 2006 | Dec 11, 2020 | no | WEST DES MOINES, IA | Previous registration |
| FSC SECURITIES CORPORATION | Former SEC adviser | Dec 9, 2005 | Dec 14, 2020 | no | WEST DES MOINES, IA | Previous registration |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Jan 1, 1999 | Dec 20, 2005 | no | WEST DES MOINES, IA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FSC SECURITIES CORPORATION | DIVERSIFIED FINANCIAL ADVISORY GROUP, INC. | Dec 14, 2020 | Feb 8, 2006 | -5,423 | Firm change after gap | Other |
| DIVERSIFIED FINANCIAL ADVISORY GROUP, INC. | LPL FINANCIAL LLC | Dec 11, 2020 | Dec 9, 2020 | -2 | Firm change | Other |
| MML INVESTORS SERVICES, LLC | FSC SECURITIES CORPORATION | Dec 20, 2005 | Dec 9, 2005 | -11 | Firm change | Other |