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Advisor at LPL ENTERPRISE, LLC
CHARLOTTE, NC | fort mill, SC
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 | fort mill, SC|CHARLOTTE, NC | Current employment |
| PRUCO SECURITIES, LLC | No RAUM reported | Jun 11, 2021 | Nov 14, 2024 | no | NEWARK, NJ|FOR MILL, SC|Fort Mill, SC | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | May 29, 2018 | Jun 25, 2021 | no | FORT MILL, SC | Previous registration |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Mar 25, 2017 | May 8, 2018 | no | CHARLOTTE, NC | Previous registration |
| WALNUT STREET SECURITIES, INC. | Former SEC adviser | Nov 14, 2012 | Sep 5, 2013 | no | BASKING RIDGE, NJ|SOMERSET, NJ|ISELIN, NJ | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Nov 14, 2012 | Mar 25, 2017 | no | BASKING RIDGE, NJ|CHARLOTTE, NC|ISELIN, NJ|SOMERSET, NJ|SOMERSET, NJ | Previous registration |
| TOWER SQUARE SECURITIES, INC. | Former SEC adviser | Nov 14, 2012 | Sep 5, 2013 | no | BASKING RIDGE, NJ|ISELIN, NJ|SOMERSET, NJ | Previous registration |
| NEW ENGLAND SECURITIES CORPORATION | Former SEC adviser | Nov 14, 2012 | Jan 2, 2015 | no | CHARLOTTE, NC|SOMERSET, NJ|BASKING RIDGE, NJ|ISELIN, NJ|SOMERSET, NJ | 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 |
| LPL FINANCIAL LLC | PRUCO SECURITIES, LLC | Jun 25, 2021 | Jun 11, 2021 | -14 | Firm change | Ibd to ibd |
| MML INVESTORS SERVICES, LLC | LPL FINANCIAL LLC | May 8, 2018 | May 29, 2018 | 21 | Firm change | Ibd to RIA |
| MSI FINANCIAL SERVICES, INC. | MML INVESTORS SERVICES, LLC | Mar 25, 2017 | Mar 25, 2017 | 0 | Bulk transfer | Other |
| NEW ENGLAND SECURITIES CORPORATION | MSI FINANCIAL SERVICES, INC. | Jan 2, 2015 | Nov 14, 2012 | -779 | Bulk transfer | Other |
| WALNUT STREET SECURITIES, INC. | TOWER SQUARE SECURITIES, INC. | Sep 5, 2013 | Nov 14, 2012 | -295 | Channel change | Other |
| TOWER SQUARE SECURITIES, INC. | NEW ENGLAND SECURITIES CORPORATION | Sep 5, 2013 | Nov 14, 2012 | -295 | Channel change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 10409:6413:NC:2018-05-08 | May 8, 2018 | May 29, 2018 | CHARLOTTE, NC | Firm change |