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Advisor at LPL FINANCIAL LLC
DALLAS, TX
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 | Nov 27, 2012 | n/a | yes | DALLAS, TX | Current employment |
| INDEPENDENT ADVISERS GROUP CORP | Former SEC adviser | Sep 29, 1993 | Jan 3, 2014 | no | DALLAS, TX|DALLAS, TX | Previous registration |
| OSAIC FS, INC. | Former SEC adviser | Sep 29, 1993 | Dec 3, 2012 | no | DALLAS, TX|DALLAS, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INDEPENDENT ADVISERS GROUP CORP | LPL FINANCIAL LLC | Jan 3, 2014 | Nov 27, 2012 | -402 | Firm change after gap | Other |
| OSAIC FS, INC. | INDEPENDENT ADVISERS GROUP CORP | Dec 3, 2012 | Sep 29, 1993 | -7,005 | Firm change after gap | Other |