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Advisor at MUTUAL ADVISORS, LLC
Valencia, CA | OMAHA, NE
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 |
|---|---|---|---|---|---|---|
| MUTUAL ADVISORS, LLC | Bd affiliated wealth | Jan 7, 2019 | n/a | yes | Valencia, CA|OMAHA, NE | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Nov 29, 2017 | Dec 31, 2018 | no | VALENCIA, CA | Previous registration |
| FINANCIAL SECURITY MANAGEMENT, INC | Independent wealth | Mar 16, 2016 | Nov 2, 2017 | no | Valencia, CA|LAKEWOOD, CO | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Feb 14, 2011 | Nov 29, 2017 | no | SANTA CLARITA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | MUTUAL ADVISORS, LLC | Dec 31, 2018 | Jan 7, 2019 | 7 | Firm change | RIA to ibd |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | FINANCIAL SECURITY MANAGEMENT, INC | Nov 29, 2017 | Mar 16, 2016 | -623 | Firm change after gap | Other |
| FINANCIAL SECURITY MANAGEMENT, INC | LPL FINANCIAL LLC | Nov 2, 2017 | Nov 29, 2017 | 27 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 116570:6413:CO:2017-11-02 | Nov 2, 2017 | Nov 29, 2017 | LAKEWOOD, CO | Firm change |