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Advisor at LPL FINANCIAL LLC
Huntington Beach, CA | SAN DIEGO, CA | HUNTINGTON BEACH, 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 | Jan 6, 2022 | n/a | yes | Huntington Beach, CA|SAN DIEGO, CA|HUNTINGTON BEACH, CA | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Sep 25, 2017 | Dec 21, 2021 | no | Huntington Beach, CA | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | May 1, 2009 | Sep 27, 2017 | no | HUNTINGTON BEACH, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | LPL FINANCIAL LLC | Dec 21, 2021 | Jan 6, 2022 | 16 | Bulk transfer | Ibd to ibd |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | SECURITIES AMERICA ADVISORS, INC. | Sep 27, 2017 | Sep 25, 2017 | -2 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:110518:CA:2017-09-19 | Sep 27, 2017 | Sep 25, 2017 | HUNTINGTON BEACH, CA | Firm change |