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Advisor at RFG ADVISORY, LLC
CREVE COEUR, MO
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 |
|---|---|---|---|---|---|---|
| RFG ADVISORY, LLC | Independent wealth | Aug 11, 2014 | n/a | yes | CREVE COEUR, MO | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Dec 10, 2010 | Oct 30, 2015 | no | CREVE COEUR, MO | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Oct 23, 2007 | Dec 9, 2010 | no | CRYSTAL CITY, MO | Previous registration |
| AMERICAN GENERAL SECURITIES INCORPORATED | n/a | Jul 20, 2006 | Oct 23, 2007 | no | FESTUS, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | RFG ADVISORY, LLC | Oct 30, 2015 | Aug 11, 2014 | -445 | Firm change after gap | Other |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | LPL FINANCIAL LLC | Dec 9, 2010 | Dec 10, 2010 | 1 | Firm change | Other |
| AMERICAN GENERAL SECURITIES INCORPORATED | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Oct 23, 2007 | Oct 23, 2007 | 0 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:158401:MO:2015-10-28 | Oct 30, 2015 | Aug 11, 2014 | CREVE COEUR, MO | Firm change after gap |