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Advisor at LPL FINANCIAL LLC
NEWINGTON, CT | FT. MYERS, FL
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 28, 2023 | n/a | yes | NEWINGTON, CT|FT. MYERS, FL | Current employment |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Sep 10, 2019 | May 3, 2023 | no | Newington, CT|NEWINGTON, CT|BEDFORD, NH|FORT MYERS, FL|Fort Myers, FL | Previous registration |
| MORGAN STANLEY | Wirehouse | Nov 28, 2011 | Sep 16, 2019 | no | West Hartford, CT|West Hartford, CT|Fort Myers, FL|West Hartford, CT | Previous registration |
| OSAIC WEALTH, INC. | Bd affiliated wealth | May 4, 2006 | Nov 30, 2011 | no | NEWINGTON, CT|NEW YORK, NY|EAST HARTFORD, CT | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Mar 23, 2004 | Apr 28, 2006 | no | NEWINGTON, CT|WATERBURY, CT | Previous registration |
| VOYA FINANCIAL ADVISORS, INC. | Bd affiliated wealth | Mar 7, 2000 | Mar 22, 2004 | no | NEWINGTON, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SAGEPOINT FINANCIAL, INC. | LPL FINANCIAL LLC | May 3, 2023 | Apr 28, 2023 | -5 | Firm change | Ibd to ibd |
| MORGAN STANLEY | SAGEPOINT FINANCIAL, INC. | Sep 16, 2019 | Sep 10, 2019 | -6 | Firm change | Wirehouse to ibd |
| OSAIC WEALTH, INC. | MORGAN STANLEY | Nov 30, 2011 | Nov 28, 2011 | -2 | Firm change | Other |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | OSAIC WEALTH, INC. | Apr 28, 2006 | May 4, 2006 | 6 | Firm change | Other |
| VOYA FINANCIAL ADVISORS, INC. | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Mar 22, 2004 | Mar 23, 2004 | 1 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 149777:133763:CT:2019-09-16 | Sep 16, 2019 | Sep 10, 2019 | WEST HARTFORD, CT | Firm change |