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Advisor at LPL ENTERPRISE, LLC
INDIANAPOLIS, IN
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 ENTERPRISE, LLC | Bd affiliated wealth | Nov 14, 2024 | n/a | yes | INDIANAPOLIS, IN | Current employment |
| PRUCO SECURITIES, LLC | No RAUM reported | Jan 22, 2024 | Nov 14, 2024 | no | Indianapolis, IN|Indianapolis, IN|Fishers, IN | Previous registration |
| VALIC FINANCIAL ADVISORS, INC. | Bd affiliated wealth | Oct 14, 2010 | Feb 7, 2024 | no | CARMEL, IN|CARMEL, IN|CARMEL, IN | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Apr 23, 2010 | Oct 1, 2010 | no | WESTFIELD, IN|CARMEL, IN|CARMEL, IN | Previous registration |
| TRUVESTMENTS CAPITAL LLC | Former SEC adviser | Feb 2, 2009 | Mar 22, 2010 | no | SARASOTA, FL | Previous registration |
| FAMILY FINANCIAL STRATEGIES, INC. | n/a | May 8, 2007 | Nov 17, 2008 | no | SARASOTA, FL | Previous registration |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | n/a | Mar 13, 2007 | Feb 17, 2009 | no | SARASOTA, FL | Previous registration |
| RAYMOND JAMES & ASSOCIATES, INC. | National bd RIA | Jan 31, 2006 | Feb 20, 2007 | no | SARASOTA, FL | Previous registration |
| CHARLES SCHWAB & CO., INC. | National bd RIA | Jan 30, 2003 | Dec 12, 2005 | no | FISHERS (INDIANAPOLIS), IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PRUCO SECURITIES, LLC | LPL ENTERPRISE, LLC | Nov 14, 2024 | Nov 14, 2024 | 0 | Bulk transfer | Ibd to new firm |
| VALIC FINANCIAL ADVISORS, INC. | PRUCO SECURITIES, LLC | Feb 7, 2024 | Jan 22, 2024 | -16 | Firm change | Ibd to ibd |
| CHASE INVESTMENT SERVICES CORP. | VALIC FINANCIAL ADVISORS, INC. | Oct 1, 2010 | Oct 14, 2010 | 13 | Firm change | Other |
| TRUVESTMENTS CAPITAL LLC | CHASE INVESTMENT SERVICES CORP. | Mar 22, 2010 | Apr 23, 2010 | 32 | Firm change | Other |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | FAMILY FINANCIAL STRATEGIES, INC. | Feb 17, 2009 | May 8, 2007 | -651 | Firm change after gap | Other |
| FAMILY FINANCIAL STRATEGIES, INC. | TRUVESTMENTS CAPITAL LLC | Nov 17, 2008 | Feb 2, 2009 | 77 | Firm change | Other |
| RAYMOND JAMES & ASSOCIATES, INC. | RAYMOND JAMES FINANCIAL SERVICES, INC. | Feb 20, 2007 | Mar 13, 2007 | 21 | Firm change | Other |
| CHARLES SCHWAB & CO., INC. | RAYMOND JAMES & ASSOCIATES, INC. | Dec 12, 2005 | Jan 31, 2006 | 50 | Firm change | Ibd to ibd |