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Advisor at CERTUITY, LLC
Franklin, TN
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 |
|---|---|---|---|---|---|---|
| CERTUITY, LLC | Independent wealth | Jan 1, 2025 | n/a | yes | Franklin, TN | Current employment |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Dec 13, 2010 | Mar 24, 2014 | no | FT LAUDERDALE, FL | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Dec 1, 2010 | Mar 24, 2014 | no | Fort Lauderdale, FL | Previous registration |
| INVEST FINANCIAL CORPORATION | Former SEC adviser | Sep 23, 2009 | Jun 3, 2010 | no | FT LAUDERDALE, FL|FORT LAUDERDALE, FL | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Apr 30, 2008 | Sep 24, 2009 | no | Ft Lauderdale, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | CERTUITY, LLC | Mar 24, 2014 | Jan 1, 2025 | 3,936 | Firm change after gap | Other |
| TD AMERITRADE, INC. | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Mar 24, 2014 | Dec 13, 2010 | -1,197 | Channel change | Other |
| INVEST FINANCIAL CORPORATION | TD AMERITRADE, INC. | Jun 3, 2010 | Dec 1, 2010 | 181 | Firm change | Other |
| AMERIPRISE FINANCIAL SERVICES, LLC | INVEST FINANCIAL CORPORATION | Sep 24, 2009 | Sep 23, 2009 | -1 | Firm change | Other |