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Advisor at LPL FINANCIAL LLC
MCCLEARY, WA
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 | Aug 16, 2007 | n/a | yes | MCCLEARY, WA | Current employment |
| FINANCIAL ADVOCATES ADVISORY SERVICES | Former SEC adviser | Oct 12, 2009 | Mar 31, 2011 | no | OLYMPIA, WA | Previous registration |
| CETERA INVESTMENT SERVICES LLC | Former SEC adviser | Sep 14, 2005 | Aug 15, 2007 | no | ABERDEEN, WA|ABERDEEN, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FINANCIAL ADVOCATES ADVISORY SERVICES | n/a | Mar 31, 2011 | n/a | n/a | Departure no registered destination | Departure |
| CETERA INVESTMENT SERVICES LLC | LPL FINANCIAL LLC | Aug 15, 2007 | Aug 16, 2007 | 1 | Firm change | Other |