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Advisor at LPL FINANCIAL LLC
WOODBRIDGE, 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 | Feb 1, 2023 | n/a | yes | WOODBRIDGE, CT | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Nov 2, 2017 | Feb 2, 2023 | no | WOODBRIDGE, CT | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Apr 3, 2006 | Nov 7, 2017 | no | Woodbridge, CT|SOUTH WINDSOR, CT | Previous registration |
| OSAIC FS, INC. | Former SEC adviser | Mar 10, 2003 | Apr 3, 2006 | no | HAMDEN, CT | Previous registration |
| POLARIS ADVISORY SERVICES INC | n/a | Feb 29, 2000 | Mar 31, 2003 | no | BRANFORD, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | LPL FINANCIAL LLC | Feb 2, 2023 | Feb 1, 2023 | -1 | Bulk transfer | Ibd to RIA |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | SECURITIES AMERICA ADVISORS, INC. | Nov 7, 2017 | Nov 2, 2017 | -5 | Firm change | Other |
| OSAIC FS, INC. | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Apr 3, 2006 | Apr 3, 2006 | 0 | Firm change | Other |
| POLARIS ADVISORY SERVICES INC | OSAIC FS, INC. | Mar 31, 2003 | Mar 10, 2003 | -21 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:110518:CT:2017-10-25 | Nov 7, 2017 | Nov 2, 2017 | SOUTH WINDSOR, CT | Firm change |