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Advisor at LPL ENTERPRISE, LLC
ROANOKE, VA | GLEN ALLEN, VA
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 ENTERPRISE, LLC | Bd affiliated wealth | Nov 14, 2024 | n/a | yes | ROANOKE, VA|GLEN ALLEN, VA | Current employment |
| PRUCO SECURITIES, LLC | No RAUM reported | Oct 1, 2018 | Nov 14, 2024 | no | GLEN ALLEN, VA|North Bethesda, MD|Roanoke, VA | Previous registration |
| LEVEL FOUR ADVISORY SERVICES | Bd affiliated wealth | Apr 30, 2015 | Sep 25, 2018 | no | ROANOKE, VA|DALLAS, TX | Previous registration |
| INDEPENDENT ADVISOR ALLIANCE, LLC | Independent wealth | Feb 17, 2014 | Apr 30, 2015 | no | ROANOKE, VA|ROANOKE, VA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Sep 13, 2013 | Feb 5, 2014 | no | ROANOKE, VA|ROANOKE, VA|CHARLOTTE, NC|SALEM, VA|CHRISTIANSBURG, VA|DALEVILLE, VA|BLACKSBURG, VA|VINTON, VA|ROANOKE, VA|ROANOKE, VA|FINCASTLE, VA|ROANOKE, VA|ROANOKE, VA | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Jul 28, 2008 | Sep 17, 2013 | no | DALEVILLE, VA|ROANOKE, VA|BLACKSBURG, VA|ROANOKE, VA|CHRISTIANSBURG, VA|SALEM, VA|ROANOKE, VA|VINTON, VA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PRUCO SECURITIES, LLC | LPL ENTERPRISE, LLC | Nov 14, 2024 | Nov 14, 2024 | 0 | Bulk transfer | Ibd to new firm |
| LEVEL FOUR ADVISORY SERVICES | PRUCO SECURITIES, LLC | Sep 25, 2018 | Oct 1, 2018 | 6 | Firm change | Ibd to ibd |
| INDEPENDENT ADVISOR ALLIANCE, LLC | LEVEL FOUR ADVISORY SERVICES | Apr 30, 2015 | Apr 30, 2015 | 0 | Firm change | Other |
| LPL FINANCIAL LLC | INDEPENDENT ADVISOR ALLIANCE, LLC | Feb 5, 2014 | Feb 17, 2014 | 12 | Firm change | Other |
| MSI FINANCIAL SERVICES, INC. | LPL FINANCIAL LLC | Sep 17, 2013 | Sep 13, 2013 | -4 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 168267:134086:VA:2015-04-30 | Apr 30, 2015 | Apr 30, 2015 | ROANOKE, VA | Firm change |