DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at COMMONWEALTH FINANCIAL NETWORK
Wolcott, VT | Providence, RI
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 |
|---|---|---|---|---|---|---|
| COMMONWEALTH FINANCIAL NETWORK | National bd RIA | Feb 19, 2019 | n/a | yes | Wolcott, VT|Providence, RI | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Mar 31, 2009 | Mar 18, 2019 | no | PROVIDENCE, RI | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Mar 2, 2007 | Apr 23, 2008 | no | PROVIDENCE, RI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | COMMONWEALTH FINANCIAL NETWORK | Mar 18, 2019 | Feb 19, 2019 | -27 | Firm change | RIA to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | LPL FINANCIAL LLC | Apr 23, 2008 | Mar 31, 2009 | 342 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:8032:RI:2019-03-18 | Mar 18, 2019 | Feb 19, 2019 | PROVIDENCE, RI | Firm change |