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Advisor at LPL FINANCIAL LLC
CHINO, CA | DIAMOND BAR, 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 | Oct 3, 2022 | n/a | yes | DIAMOND BAR, CA|CHINO, CA | Current employment |
| FSC SECURITIES CORPORATION | Former SEC adviser | Feb 17, 2012 | Oct 11, 2022 | no | DIAMOND BAR, CA | Previous registration |
| THE ADVISORY GROUP | Former SEC adviser | Feb 16, 2012 | Dec 31, 2022 | no | DIAMOND BAR, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| THE ADVISORY GROUP | FSC SECURITIES CORPORATION | Dec 31, 2022 | Feb 17, 2012 | -3,970 | Firm change after gap | Other |
| FSC SECURITIES CORPORATION | LPL FINANCIAL LLC | Oct 11, 2022 | Oct 3, 2022 | -8 | Firm change | Ibd to RIA |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 109175:7461:CA:2022-12-31 | Dec 31, 2022 | Feb 17, 2012 | DIAMOND BAR, CA | Firm change after gap |
| 7461:6413:CA:2022-10-10 | Oct 11, 2022 | Oct 3, 2022 | DIAMOND BAR, CA | Firm change |