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Advisor at LPL ENTERPRISE, LLC
INDIANAPOLIS, IN
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 ENTERPRISE, LLC | Bd affiliated wealth | Nov 14, 2024 | n/a | yes | INDIANAPOLIS, IN | Current employment |
| PRUCO SECURITIES, LLC | No RAUM reported | Oct 30, 2019 | Nov 14, 2024 | no | INDIANAPOLIS, IN|Indianapolis, IN | Previous registration |
| INTEGRITY ALLIANCE, LLC | Bd affiliated wealth | Dec 4, 2017 | May 9, 2019 | no | Indianapolis, IN|URBANDALE, IA|Indianapolis, IN | Previous registration |
| OSAIC WEALTH, INC. | Bd affiliated wealth | Feb 1, 2016 | Dec 5, 2017 | no | INDIANAPOLIS, IN|INDIANAPOLIS, IN|SALEM, SC | Previous registration |
| STONEX ADVISORS INC. | Bd affiliated wealth | Jan 30, 2015 | Feb 2, 2016 | no | BIRMINGHAM, AL | Previous registration |
| STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | Former SEC adviser | Mar 1, 2013 | Jan 30, 2015 | no | INDIANAPOLIS, IN|YOUNGSTOWN, OH | Previous registration |
| NEW ENGLAND SECURITIES CORPORATION | Former SEC adviser | Feb 4, 2004 | Mar 15, 2013 | no | INDIANAPOLIS, IN|INDIANAPOLIS, IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PRUCO SECURITIES, LLC | LPL ENTERPRISE, LLC | Nov 14, 2024 | Nov 14, 2024 | 0 | Bulk transfer | Ibd to new firm |
| INTEGRITY ALLIANCE, LLC | PRUCO SECURITIES, LLC | May 9, 2019 | Oct 30, 2019 | 174 | Firm change | RIA to ibd |
| OSAIC WEALTH, INC. | INTEGRITY ALLIANCE, LLC | Dec 5, 2017 | Dec 4, 2017 | -1 | Firm change | Other |
| STONEX ADVISORS INC. | OSAIC WEALTH, INC. | Feb 2, 2016 | Feb 1, 2016 | -1 | Firm change | Other |
| STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | STONEX ADVISORS INC. | Jan 30, 2015 | Jan 30, 2015 | 0 | Bulk transfer | Other |
| NEW ENGLAND SECURITIES CORPORATION | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | Mar 15, 2013 | Mar 1, 2013 | -14 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 174182:23131:AL:2016-01-20 | Feb 2, 2016 | Feb 1, 2016 | BIRMINGHAM, AL | Firm change |