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Advisor at LPL FINANCIAL LLC
WOBURN, MA
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 | May 20, 2020 | n/a | yes | WOBURN, MA | Current employment |
| OSAIC FA, INC. | Former SEC adviser | Jun 20, 2016 | May 14, 2020 | no | Lexington, MA|BOSTON, MA|WOBURN, MA | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Jan 2, 2015 | Jun 16, 2016 | no | LEXINGTON, MA | Previous registration |
| Mariner | Independent wealth | Oct 25, 2012 | Jun 15, 2016 | no | OVERLAND PARK,, KS | Previous registration |
| NEW ENGLAND SECURITIES CORPORATION | Former SEC adviser | Sep 4, 2012 | Jan 2, 2015 | no | BOSTON, MA|LEXINGTON, MA | Previous registration |
| 1ST GLOBAL ADVISORS INC | Former SEC adviser | Sep 13, 2010 | Sep 4, 2012 | no | LEXINGTON, MA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | May 8, 2006 | Sep 20, 2010 | no | WALTHAM, MA|LEXINGTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OSAIC FA, INC. | LPL FINANCIAL LLC | May 14, 2020 | May 20, 2020 | 6 | Firm change | Ibd to ibd |
| MSI FINANCIAL SERVICES, INC. | OSAIC FA, INC. | Jun 16, 2016 | Jun 20, 2016 | 4 | Firm change | Other |
| Mariner | MSI FINANCIAL SERVICES, INC. | Jun 15, 2016 | Jan 2, 2015 | -530 | Firm change after gap | Other |
| NEW ENGLAND SECURITIES CORPORATION | Mariner | Jan 2, 2015 | Oct 25, 2012 | -799 | Firm change after gap | Other |
| 1ST GLOBAL ADVISORS INC | NEW ENGLAND SECURITIES CORPORATION | Sep 4, 2012 | Sep 4, 2012 | 0 | Firm change | Other |
| LPL FINANCIAL LLC | 1ST GLOBAL ADVISORS INC | Sep 20, 2010 | Sep 13, 2010 | -7 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 3978:6413:MA:2020-05-12 | May 14, 2020 | May 20, 2020 | WOBURN, MA | Firm change |
| 615:151664:MA:2015-01-02 | Jan 2, 2015 | Oct 25, 2012 | LEXINGTON, MA | Firm change after gap |