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Advisor at LPL FINANCIAL LLC
WOODLAND HILLS, CA | WALNUT CREEK, CA
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 | Jun 5, 2025 | n/a | yes | WOODLAND HILLS, CA|WALNUT CREEK, CA | Current employment |
| WESTERN INTERNATIONAL SECURITIES | Former SEC adviser | May 10, 2021 | Jun 5, 2025 | no | Pasadena, CA|PASADENA, CA|Woodland Hills, CA|Campbell, CA | Previous registration |
| LADENBURG THALMANN ASSET MANAGEMENT INC | Other adviser | Oct 26, 2012 | Apr 1, 2021 | no | NEW YORK, NY|Calabasas, CA | Previous registration |
| FINANCIAL WEST GROUP | Former SEC adviser | Oct 16, 2008 | Nov 14, 2012 | no | WESTLAKE VILLAGE, CA|WESTLAKE VILLAGE, CA|RENO, NV|WINTERSVILLE, OH|WESTLAKE VILLAGE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WESTERN INTERNATIONAL SECURITIES | LPL FINANCIAL LLC | Jun 5, 2025 | Jun 5, 2025 | 0 | Bulk transfer | Ibd to ibd |
| LADENBURG THALMANN ASSET MANAGEMENT INC | WESTERN INTERNATIONAL SECURITIES | Apr 1, 2021 | May 10, 2021 | 39 | Firm change | RIA to ibd |
| FINANCIAL WEST GROUP | LADENBURG THALMANN ASSET MANAGEMENT INC | Nov 14, 2012 | Oct 26, 2012 | -19 | Firm change | Other |