DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at LPL FINANCIAL LLC
SAN DIEGO, 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 | Dec 22, 2017 | n/a | yes | SAN DIEGO, CA | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Nov 24, 2008 | Nov 24, 2017 | no | SAN DIEGO, CA|LAKESIDE, CA | Previous registration |
| FIRST ALLIED ASSET MANAGEMENT, INC. | Former SEC adviser | Jul 1, 2008 | Nov 10, 2008 | no | SAN DIEGO, CA | Previous registration |
| GREENBOOK INVESTMENT MANAGEMENT, INC. | n/a | May 19, 2008 | Nov 10, 2008 | no | SAN DIEGO, CA | Previous registration |
| FIRST ALLIED SECURITIES, INC. | Former SEC adviser | May 19, 2008 | Nov 10, 2008 | no | SAN DIEGO, CA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | May 16, 2007 | May 9, 2008 | no | SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| GREENBOOK INVESTMENT MANAGEMENT, INC. | FIRST ALLIED ASSET MANAGEMENT, INC. | Nov 10, 2008 | Jul 1, 2008 | -132 | Firm change after gap | Other |
| FIRST ALLIED ASSET MANAGEMENT, INC. | LPL FINANCIAL LLC | Nov 10, 2008 | Nov 24, 2008 | 14 | Firm change | Other |
| FIRST ALLIED SECURITIES, INC. | GREENBOOK INVESTMENT MANAGEMENT, INC. | Nov 10, 2008 | May 19, 2008 | -175 | Firm change after gap | Other |
| LPL FINANCIAL LLC | FIRST ALLIED SECURITIES, INC. | May 9, 2008 | May 19, 2008 | 10 | Firm change | Other |