DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at LPL FINANCIAL LLC
WESTLAKE VILLAGE, 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 | Sep 18, 2025 | n/a | yes | WESTLAKE VILLAGE, CA | Current employment |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Jul 16, 2021 | Sep 25, 2025 | no | Agoura Hills, CA|Moorpark, CA | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Sep 10, 2015 | Jul 28, 2021 | no | NEWBURY PARK, CA|THOUSAND OAKS, CA|CALABASAS, CA|THOUSAND OAKS, CA|NEWBURY PARK, CA|MOORPARK, CA|SIMI VALLEY, CA|NEWBURY PARK, CA | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 5, 2012 | Jun 19, 2015 | no | WESTLAKE VILLAGE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | LPL FINANCIAL LLC | Sep 25, 2025 | Sep 18, 2025 | -7 | Firm change | Ibd to ibd |
| J.P. MORGAN SECURITIES LLC | AMERIPRISE FINANCIAL SERVICES, LLC | Jul 28, 2021 | Jul 16, 2021 | -12 | Firm change | Wirehouse to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | J.P. MORGAN SECURITIES LLC | Jun 19, 2015 | Sep 10, 2015 | 83 | Firm change | Wirehouse to wirehouse |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:79:CA:2015-05-13 | Jun 19, 2015 | Sep 10, 2015 | WESTLAKE VILLAGE, CA | Firm change |