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Advisor at PRINCIPAL ADVISED SERVICES
LOS ANGELES, 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 |
|---|---|---|---|---|---|---|
| PRINCIPAL ADVISED SERVICES | Bd affiliated wealth | Mar 13, 2025 | n/a | yes | LOS ANGELES, CA | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Jun 29, 2023 | Apr 11, 2024 | no | EL SEGUNDO, CA | Previous registration |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | Mar 23, 2018 | Jun 29, 2023 | no | EL SEGUNDO, CA | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Jun 21, 2016 | Jan 2, 2018 | no | El Segundo, CA | Previous registration |
| WADDELL & REED | Former SEC adviser | Nov 2, 2011 | May 19, 2016 | no | OVERLAND PARK, KS | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | PRINCIPAL ADVISED SERVICES | Apr 11, 2024 | Mar 13, 2025 | 336 | Firm change | Ibd to ibd |
| CETERA ADVISOR NETWORKS LLC | CETERA INVESTMENT ADVISERS LLC | Jun 29, 2023 | Jun 29, 2023 | 0 | Bulk transfer | Ibd to ibd |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | CETERA ADVISOR NETWORKS LLC | Jan 2, 2018 | Mar 23, 2018 | 80 | Firm change | Other |
| WADDELL & REED | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | May 19, 2016 | Jun 21, 2016 | 33 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:13572:CA:2018-01-02 | Jan 2, 2018 | Mar 23, 2018 | EL SEGUNDO, CA | Firm change |
| 866:29604:KS:2016-05-19 | May 19, 2016 | Jun 21, 2016 | OVERLAND PARK, KS | Firm change |