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Advisor at LPL FINANCIAL LLC
BATESVILLE, AR
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 | Nov 29, 2017 | n/a | yes | BATESVILLE, AR|BATESVILLE, AR | Current employment |
| INVESTMENT CENTERS OF AMERICA, INC. | Former SEC adviser | Sep 9, 2015 | Nov 29, 2017 | no | JONESBORO, AR|Batesville, AR|BATESVILLE, AR|APPLETON, WI|APPLETON, WI | Previous registration |
| SWBC INVESTMENT COMPANY | Independent wealth | Aug 28, 2009 | Sep 1, 2015 | no | SAN ANTONIO, TX|BATESVILLE, AR | Previous registration |
| NFP ADVISOR SERVICES, LLC | Former SEC adviser | Jan 3, 2006 | Aug 27, 2009 | no | BATESVILLE, AR | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INVESTMENT CENTERS OF AMERICA, INC. | LPL FINANCIAL LLC | Nov 29, 2017 | Nov 29, 2017 | 0 | Bulk transfer | Other |
| SWBC INVESTMENT COMPANY | INVESTMENT CENTERS OF AMERICA, INC. | Sep 1, 2015 | Sep 9, 2015 | 8 | Firm change | Other |
| NFP ADVISOR SERVICES, LLC | SWBC INVESTMENT COMPANY | Aug 27, 2009 | Aug 28, 2009 | 1 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 140994:16443:AR:2015-09-01 | Sep 1, 2015 | Sep 9, 2015 | BATESVILLE, AR | Firm change |