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Advisor at LPL FINANCIAL LLC
WESTLAKE VILLAGE, CA
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 | Feb 24, 2025 | n/a | yes | WESTLAKE VILLAGE, CA | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Nov 2, 2012 | Mar 6, 2025 | no | WESTLAKE VILLAGE, CA|WESTLAKE, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 23, 2009 | Nov 5, 2012 | no | WESTLAKE VILLAGE, CA | Previous registration |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Aug 22, 2007 | Oct 23, 2009 | no | SANTA MONICA, CA|WESTLAKE VILLAGE, CA|FT. WORTH, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | LPL FINANCIAL LLC | Mar 6, 2025 | Feb 24, 2025 | -10 | Firm change | Wirehouse to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | WELLS FARGO ADVISORS | Nov 5, 2012 | Nov 2, 2012 | -3 | Firm change | Wirehouse to wirehouse |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Oct 23, 2009 | Oct 23, 2009 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 11025:6413:CA:2025-03-06 | Mar 6, 2025 | Feb 24, 2025 | WESTLAKE, CA | Firm change |