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Advisor at LPL FINANCIAL LLC
REDONDO BEACH, 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 | Mar 13, 2020 | n/a | yes | REDONDO BEACH, CA | Current employment |
| OTTO CAPITAL MANAGEMENT | Former SEC adviser | Mar 26, 2018 | Apr 2, 2020 | no | PACIFIC PALISADES, CA|PHOENIX, AZ | Previous registration |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | n/a | Aug 28, 2002 | Feb 9, 2005 | no | SANTA MONICA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OTTO CAPITAL MANAGEMENT | LPL FINANCIAL LLC | Apr 2, 2020 | Mar 13, 2020 | -20 | Firm change | Other |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | OTTO CAPITAL MANAGEMENT | Feb 9, 2005 | Mar 26, 2018 | 4,793 | Firm change after gap | Other |