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Advisor at LPL ENTERPRISE, LLC
SAN JOSE, CA | MONTE SERENO, 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 ENTERPRISE, LLC | Bd affiliated wealth | Nov 14, 2024 | n/a | yes | MONTE SERENO, CA|SAN JOSE, CA|SAN JOSE, CA | Current employment |
| PRUCO SECURITIES, LLC | No RAUM reported | Sep 12, 2024 | Nov 14, 2024 | no | SAN JOSE, CA | Previous registration |
| TRANSAMERICA FINANCIAL ADVISORS, LLC | Bd affiliated wealth | May 19, 2014 | Sep 5, 2024 | no | SAN JOSE, CA|SAN JOSE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PRUCO SECURITIES, LLC | LPL ENTERPRISE, LLC | Nov 14, 2024 | Nov 14, 2024 | 0 | Bulk transfer | Ibd to new firm |
| TRANSAMERICA FINANCIAL ADVISORS, LLC | PRUCO SECURITIES, LLC | Sep 5, 2024 | Sep 12, 2024 | 7 | Firm change | Ibd to ibd |