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Advisor at LPL FINANCIAL LLC
SAN JOSE, CA | FAIR OAKS, 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 | Apr 4, 2011 | n/a | yes | SAN JOSE, CA|FAIR OAKS, CA | Current employment |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Jun 22, 2010 | Apr 11, 2011 | no | MONTEREY, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Mar 3, 2006 | Jun 4, 2010 | no | SAN JOSE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CHASE INVESTMENT SERVICES CORP. | LPL FINANCIAL LLC | Apr 11, 2011 | Apr 4, 2011 | -7 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | CHASE INVESTMENT SERVICES CORP. | Jun 4, 2010 | Jun 22, 2010 | 18 | Firm change | Other |