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Advisor at LPL FINANCIAL LLC
ST. LOUIS, MO
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, 2023 | n/a | yes | ST. LOUIS, MO | Current employment |
| COMMERCE BROKERAGE SERVICES, INC | Former SEC adviser | Oct 4, 2013 | Aug 16, 2023 | no | ST. LOUIS, MO | Previous registration |
| THRIVENT INVESTMENT MANAGEMENT INC. | Bd affiliated wealth | Feb 2, 2009 | Sep 10, 2013 | no | St Charles, MO|ST LOUIS, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| COMMERCE BROKERAGE SERVICES, INC | LPL FINANCIAL LLC | Aug 16, 2023 | Aug 16, 2023 | 0 | Bulk transfer | RIA to ibd |
| THRIVENT INVESTMENT MANAGEMENT INC. | COMMERCE BROKERAGE SERVICES, INC | Sep 10, 2013 | Oct 4, 2013 | 24 | Firm change | Other |