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Advisor at LPL FINANCIAL LLC
BAY SHORE, NY
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 | BAY SHORE, NY | Current employment |
| CUNA BROKERAGE SERVICES, INC. | Former SEC adviser | May 3, 2013 | May 18, 2022 | no | BAY SHORE, NY|SOUTH SETAUKET, NY | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | Jun 21, 2012 | Apr 25, 2013 | no | NEW YORK, NY|Long Island City, NY|Westlake Village, CA|FARMINGDALE, NY|Bay Shore, NY|FARMINGDALE, NY | Previous registration |
| HSBC SECURITIES (USA) INC. | Bd affiliated wealth | Jun 9, 2006 | Jun 7, 2012 | no | NEW YORK, NY|NEW YORK, NY|NEW YORK, NY|NEW YORK, NY | Previous registration |
| QUICK & REILLY, INC. | n/a | Oct 11, 2002 | Oct 18, 2004 | no | COMMACK, NY | 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 |
| CITIGROUP GLOBAL MARKETS INC. | CUNA BROKERAGE SERVICES, INC. | Apr 25, 2013 | May 3, 2013 | 8 | Firm change | Other |
| HSBC SECURITIES (USA) INC. | CITIGROUP GLOBAL MARKETS INC. | Jun 7, 2012 | Jun 21, 2012 | 14 | Firm change | Other |
| QUICK & REILLY, INC. | HSBC SECURITIES (USA) INC. | Oct 18, 2004 | Jun 9, 2006 | 599 | Firm change after gap | Other |