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Advisor at LPL FINANCIAL LLC
WHEELING, WV
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 | Apr 2, 2024 | n/a | yes | WHEELING, WV | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Jun 29, 2023 | Mar 29, 2024 | no | WHEELING, WV | Previous registration |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | Jan 25, 2016 | Jun 29, 2023 | no | WHEELING, WV|WHEELING, WV | Previous registration |
| FOUNDERS FINANCIAL ALLIANCE, LLC | Independent wealth | Dec 21, 2015 | Jan 8, 2016 | no | Wheeling, WV|RALEIGH, NC | Previous registration |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | Aug 6, 2007 | Dec 15, 2015 | no | WHEELING, WV|EL SEGUNDO, CA | Previous registration |
| BLUE VASE CAPITAL MANAGEMENT | n/a | Jan 5, 2006 | Dec 31, 2008 | no | DALLAS, WV | Previous registration |
| BLUE VASE SECURITIES, LLC | n/a | Oct 4, 2002 | Dec 31, 2005 | no | DALLAS, WV | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | LPL FINANCIAL LLC | Mar 29, 2024 | Apr 2, 2024 | 4 | Firm change | Ibd to ibd |
| CETERA ADVISOR NETWORKS LLC | CETERA INVESTMENT ADVISERS LLC | Jun 29, 2023 | Jun 29, 2023 | 0 | Bulk transfer | Ibd to ibd |
| FOUNDERS FINANCIAL ALLIANCE, LLC | CETERA ADVISOR NETWORKS LLC | Jan 8, 2016 | Jan 25, 2016 | 17 | Firm change | Other |
| CETERA ADVISOR NETWORKS LLC | FOUNDERS FINANCIAL ALLIANCE, LLC | Dec 15, 2015 | Dec 21, 2015 | 6 | Firm change | Other |
| BLUE VASE CAPITAL MANAGEMENT | CETERA ADVISOR NETWORKS LLC | Dec 31, 2008 | Aug 6, 2007 | -513 | Firm change after gap | Other |
| BLUE VASE SECURITIES, LLC | BLUE VASE CAPITAL MANAGEMENT | Dec 31, 2005 | Jan 5, 2006 | 5 | Firm change | Other |