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Advisor at LPL FINANCIAL LLC
TROY, OH
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 | Mar 2, 2020 | n/a | yes | TROY, OH | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Apr 27, 2016 | Mar 5, 2020 | no | Troy, OH | Previous registration |
| STONEX ADVISORS INC. | Bd affiliated wealth | Jan 30, 2015 | Apr 29, 2016 | no | BIRMINGHAM, AL | Previous registration |
| STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | Former SEC adviser | Jun 7, 2004 | Jan 30, 2015 | no | TROY, OH|YOUNGSTOWN, OH|YOUNGSTOWN, OH | Previous registration |
| WS GRIFFITH SECURITIES, INC. | n/a | Feb 12, 2004 | Jun 9, 2004 | no | TROY, OH | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | LPL FINANCIAL LLC | Mar 5, 2020 | Mar 2, 2020 | -3 | Firm change | Ibd to ibd |
| STONEX ADVISORS INC. | SECURITIES AMERICA ADVISORS, INC. | Apr 29, 2016 | Apr 27, 2016 | -2 | Firm change | Other |
| STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | STONEX ADVISORS INC. | Jan 30, 2015 | Jan 30, 2015 | 0 | Bulk transfer | Other |
| WS GRIFFITH SECURITIES, INC. | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | Jun 9, 2004 | Jun 7, 2004 | -2 | Firm change | Other |