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Advisor at LPL FINANCIAL LLC
ROSEMONT, IL
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 2, 2024 | n/a | yes | ROSEMONT, IL | Current employment |
| FIFTH THIRD SECURITIES, INC. | Bd affiliated wealth | Sep 19, 2019 | Dec 23, 2020 | no | OAK BROOK, IL|Valparaiso, IN | Previous registration |
| U.S. BANCORP INVESTMENTS, INC. | Former SEC adviser | Apr 9, 2013 | Aug 30, 2019 | no | Chicago, IL|Lisle, IL|Minneapolis, MN|Lisle, IL | Previous registration |
| PNC WEALTH MANAGEMENT | Bd affiliated wealth | Dec 20, 2010 | Oct 3, 2012 | no | CHICAGO, IL|COLUMBUS, OH|PHILADELPHIA, PA | Previous registration |
| PNC WEALTH MANAGEMENT | Bd affiliated wealth | Nov 13, 2009 | Dec 31, 2009 | no | OAKBROOK, IL | Previous registration |
| NATCITY INVESTMENTS, INC. | n/a | Oct 9, 2006 | Nov 13, 2009 | no | OAKBROOK, IL|OAKBROOK, IL|PEORIA, IL | Previous registration |
| BMO HARRIS FINANCIAL ADVISORS, INC | Former SEC adviser | Dec 16, 2005 | Oct 3, 2006 | no | LAKE FOREST, IL|CHICAGO, IL|GLENCOE, IL | Previous registration |
| E*TRADE CAPITAL MANAGEMENT, LLC | Former SEC adviser | May 14, 2002 | Dec 31, 2005 | no | LAKE FOREST, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FIFTH THIRD SECURITIES, INC. | LPL FINANCIAL LLC | Dec 23, 2020 | Aug 2, 2024 | 1,318 | Firm change after gap | Ibd to ibd |
| U.S. BANCORP INVESTMENTS, INC. | FIFTH THIRD SECURITIES, INC. | Aug 30, 2019 | Sep 19, 2019 | 20 | Firm change | Ibd to ibd |
| PNC WEALTH MANAGEMENT | U.S. BANCORP INVESTMENTS, INC. | Oct 3, 2012 | Apr 9, 2013 | 188 | Firm change | Other |
| NATCITY INVESTMENTS, INC. | PNC WEALTH MANAGEMENT | Nov 13, 2009 | Nov 13, 2009 | 0 | Bulk transfer | Other |
| BMO HARRIS FINANCIAL ADVISORS, INC | NATCITY INVESTMENTS, INC. | Oct 3, 2006 | Oct 9, 2006 | 6 | Firm change | Other |
| E*TRADE CAPITAL MANAGEMENT, LLC | BMO HARRIS FINANCIAL ADVISORS, INC | Dec 31, 2005 | Dec 16, 2005 | -15 | Bulk transfer | Other |