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Advisor at LPL FINANCIAL LLC
BROOKFIELD, WI | CHANDLER, AZ
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 | Jul 19, 2023 | n/a | yes | BROOKFIELD, WI|CHANDLER, AZ | Current employment |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Former SEC adviser | Feb 10, 2021 | Jul 25, 2023 | no | TEMPE, AZ|OMAHA, NE | Previous registration |
| MORGAN STANLEY | Wirehouse | Jul 28, 2018 | Oct 20, 2020 | no | GILBERT, AZ | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Apr 3, 2012 | Jul 18, 2018 | no | CHANDLER, AZ|CHANDLER, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | LPL FINANCIAL LLC | Jul 25, 2023 | Jul 19, 2023 | -6 | Bulk transfer | Ibd to ibd |
| MORGAN STANLEY | BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Oct 20, 2020 | Feb 10, 2021 | 113 | Firm change | Wirehouse to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MORGAN STANLEY | Jul 18, 2018 | Jul 28, 2018 | 10 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:149777:AZ:2018-07-03 | Jul 18, 2018 | Jul 28, 2018 | CHANDLER, AZ | Firm change |