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Advisor at LPL FINANCIAL LLC
SHELTON, CT | TRUMBULL, CT
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 | Aug 17, 2022 | n/a | yes | TRUMBULL, CT|SHELTON, CT | Current employment |
| PEOPLE'S UNITED ADVISORS, INC. | Former SEC adviser | May 21, 2018 | Aug 17, 2022 | no | Trumbull, CT | Previous registration |
| PEOPLE'S SECURITIES, INC. | Former SEC adviser | Jan 3, 2000 | Mar 31, 2020 | no | TRUMBULL, CT|TRUMBULL, CT|TRUMBULL, CT|BRIDGEPORT, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PEOPLE'S UNITED ADVISORS, INC. | LPL FINANCIAL LLC | Aug 17, 2022 | Aug 17, 2022 | 0 | Bulk transfer | RIA to RIA |
| PEOPLE'S SECURITIES, INC. | PEOPLE'S UNITED ADVISORS, INC. | Mar 31, 2020 | May 21, 2018 | -680 | Bulk transfer | Other |