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Advisor at LPL FINANCIAL LLC
EL DORADO HILLS, CA | CAPITOLA, CA
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 | Aug 19, 2020 | n/a | yes | EL DORADO HILLS, CA|CAPITOLA, CA | Current employment |
| SECURIAN FINANCIAL SERVICES, INC. | Former SEC adviser | May 30, 2019 | Sep 4, 2020 | no | SAN MATEO, CA | Previous registration |
| MORGAN STANLEY | Wirehouse | Aug 22, 2017 | Feb 13, 2018 | no | San Luis Obispo, CA | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Apr 4, 2014 | Jun 12, 2017 | no | SAN FRANCISCO, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Jun 1, 2010 | Mar 28, 2014 | no | SAN FRANCISCO, CA|GLEN BURNIE, MD|SAN JOSE, CA|San Francisco, CA|SAN FRANCISCO, CA|San Antonio, TX|SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURIAN FINANCIAL SERVICES, INC. | LPL FINANCIAL LLC | Sep 4, 2020 | Aug 19, 2020 | -16 | Firm change | Ibd to ibd |
| MORGAN STANLEY | SECURIAN FINANCIAL SERVICES, INC. | Feb 13, 2018 | May 30, 2019 | 471 | Firm change after gap | Wirehouse to ibd |
| UBS FINANCIAL SERVICES INC. | MORGAN STANLEY | Jun 12, 2017 | Aug 22, 2017 | 71 | Firm change | Wirehouse to wirehouse |
| CITIGROUP GLOBAL MARKETS INC. | UBS FINANCIAL SERVICES INC. | Mar 28, 2014 | Apr 4, 2014 | 7 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 15296:6413:CA:2020-09-04 | Sep 4, 2020 | Aug 19, 2020 | SAN MATEO, CA | Firm change |
| 8174:149777:CA:2017-06-12 | Jun 12, 2017 | Aug 22, 2017 | SAN FRANCISCO, CA | Firm change |