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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 | May 8, 2025 | n/a | yes | SAN DIEGO, CA | Current employment |
| RBC CAPITAL MARKETS, LLC | National bd RIA | Aug 17, 2012 | May 15, 2025 | no | LA JOLLA, CA|San Diego, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 23, 2009 | Aug 21, 2012 | no | SAN DIEGO, CA|SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Jan 9, 2006 | Oct 23, 2009 | no | SAN DIEGO, CA|SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Jul 31, 2003 | Jan 9, 2006 | no | LA MESA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| RBC CAPITAL MARKETS, LLC | LPL FINANCIAL LLC | May 15, 2025 | May 8, 2025 | -7 | Firm change | Ibd to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | RBC CAPITAL MARKETS, LLC | Aug 21, 2012 | Aug 17, 2012 | -4 | Firm change | Wirehouse to ibd |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |
| MORGAN STANLEY DW INC. | BANC OF AMERICA INVESTMENT SERVICES, INC. | Jan 9, 2006 | Jan 9, 2006 | 0 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 31194:6413:CA:2025-05-15 | May 15, 2025 | May 8, 2025 | SAN DIEGO, CA | Firm change |