DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at LPL FINANCIAL LLC
LOUISVILLE, CO
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 | May 18, 2022 | n/a | yes | LOUISVILLE, CO | Current employment |
| CUNA BROKERAGE SERVICES, INC. | Former SEC adviser | Nov 13, 2017 | May 18, 2022 | no | WAVERLY, IA|Westminster, CO|BOULDER, CO|Westminster, CO|Westminster, CO | Previous registration |
| CUSO FINANCIAL SERVICES, L.P. | Former SEC adviser | Dec 9, 2011 | Oct 17, 2016 | no | BOULDER, CO | Previous registration |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Former SEC adviser | May 8, 2008 | Dec 2, 2011 | no | BROOMFIELD, CO|BOULDER, CO|WESTMINSTER, CO|GOLDEN, CO|LOUISVILLE, CO|LOUISVILLE, CO|SUPERIOR, CO|BROOMFIELD, CO|WESTMINSTER, CO|BOULDER, CO | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Mar 24, 2008 | May 1, 2008 | no | BOULDER, CO | Previous registration |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Former SEC adviser | Aug 12, 2006 | Mar 17, 2008 | no | BROOMFIELD, CO|WESTMINSTER, CO|LOUISVILLE, CO|SUPERIOR, CO|THORNTON, CO|THORNTON, CO|COMMERCE CITY, CO|GOLDEN, CO|BRIGHTON, CO|LONGMONT, CO|FORT COLLINS, CO|DENVER, CO | Previous registration |
| INVEST FINANCIAL CORPORATION | Former SEC adviser | Oct 14, 2004 | Aug 12, 2006 | no | FORT COLLINS, CO|LONGMONT, CO|LONGMONT, CO | Previous registration |
| IFMG SECURITIES, INC. | n/a | Feb 27, 2004 | Oct 4, 2004 | no | BOULDER, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CUNA BROKERAGE SERVICES, INC. | LPL FINANCIAL LLC | May 18, 2022 | May 18, 2022 | 0 | Bulk transfer | Ibd to RIA |
| CUSO FINANCIAL SERVICES, L.P. | CUNA BROKERAGE SERVICES, INC. | Oct 17, 2016 | Nov 13, 2017 | 392 | Firm change | Other |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | CUSO FINANCIAL SERVICES, L.P. | Dec 2, 2011 | Dec 9, 2011 | 7 | Firm change | Other |
| CHASE INVESTMENT SERVICES CORP. | BANCWEST INVESTMENT SERVICES, INC. (BWIS) | May 1, 2008 | May 8, 2008 | 7 | Firm change | Other |
| BANCWEST INVESTMENT SERVICES, INC. (BWIS) | CHASE INVESTMENT SERVICES CORP. | Mar 17, 2008 | Mar 24, 2008 | 7 | Firm change | Other |
| INVEST FINANCIAL CORPORATION | BANCWEST INVESTMENT SERVICES, INC. (BWIS) | Aug 12, 2006 | Aug 12, 2006 | 0 | Firm change | Other |
| IFMG SECURITIES, INC. | INVEST FINANCIAL CORPORATION | Oct 4, 2004 | Oct 14, 2004 | 10 | Firm change | Other |