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Advisor at LPL FINANCIAL LLC
CARMEL-BY-THE-SEA, CA | GLENWOOD SPRINGS, CO | SAN JOSE, 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 | Aug 17, 2007 | n/a | yes | SAN JOSE, CA|GLENWOOD SPRINGS, CO|CARMEL-BY-THE-SEA, CA|SAN JOSE, CA | Current employment |
| RETIREMENT CAPITAL STRATEGIES, INC. | Independent wealth | Aug 30, 2007 | Jul 6, 2009 | no | SAN JOSE, CA | Previous registration |
| WADDELL & REED | Former SEC adviser | Sep 17, 2004 | Aug 24, 2007 | no | CAMPBELL, CA|SEATTLE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| RETIREMENT CAPITAL STRATEGIES, INC. | n/a | Jul 6, 2009 | n/a | n/a | Departure no registered destination | Departure |
| WADDELL & REED | LPL FINANCIAL LLC | Aug 24, 2007 | Aug 17, 2007 | -7 | Firm change | Other |