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Advisor at LPL FINANCIAL LLC
SOUTHBURY, CT | NEW MILFORD, CT
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 | Sep 5, 2023 | n/a | yes | NEW MILFORD, CT|SOUTHBURY, CT|SOUTHBURY, CT | Current employment |
| OSAIC WEALTH, INC. | Bd affiliated wealth | Nov 2, 2018 | Sep 11, 2023 | no | ROCKY HILL, CT | Previous registration |
| SIGNATOR INVESTORS, INC. | Former SEC adviser | Jun 6, 2002 | Nov 2, 2018 | no | ROCKY HILL, CT|ROCKY HILL, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OSAIC WEALTH, INC. | LPL FINANCIAL LLC | Sep 11, 2023 | Sep 5, 2023 | -6 | Firm change | Ibd to ibd |
| SIGNATOR INVESTORS, INC. | OSAIC WEALTH, INC. | Nov 2, 2018 | Nov 2, 2018 | 0 | Bulk transfer | Ibd to ibd |