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Advisor at LPL FINANCIAL LLC
ROCKVILLE CENTRE, NY
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 | Sep 17, 2018 | n/a | yes | ROCKVILLE CENTRE, NY | Current employment |
| HARBOR FINANCIAL SERVICES, LLC | Former SEC adviser | Jun 6, 2013 | Oct 5, 2018 | no | ROCKVILLE CENTRE, NY|DALLAS, TX|MOBILE, AL | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Feb 17, 2009 | Jun 5, 2009 | no | GARDEN CITY, NY | Previous registration |
| HARBOR FINANCIAL SERVICES, LLC | Former SEC adviser | Jun 28, 2006 | Feb 3, 2009 | no | DALLAS, TX|MOBILE, AL|ROCKVILLE CENTRE, NY|ROCKVILLE CENTRE, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| HARBOR FINANCIAL SERVICES, LLC | LPL FINANCIAL LLC | Oct 5, 2018 | Sep 17, 2018 | -18 | Firm change | RIA to RIA |
| MSI FINANCIAL SERVICES, INC. | HARBOR FINANCIAL SERVICES, LLC | Jun 5, 2009 | Jun 6, 2013 | 1,462 | Firm change after gap | Other |
| HARBOR FINANCIAL SERVICES, LLC | MSI FINANCIAL SERVICES, INC. | Feb 3, 2009 | Feb 17, 2009 | 14 | Firm change | Other |