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Advisor at LPL FINANCIAL LLC
MIRAMAR, FL | WEST PALM BEACH, FL
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 19, 2022 | n/a | yes | WEST PALM BEACH, FL|MIRAMAR, FL | Current employment |
| CUNA BROKERAGE SERVICES, INC. | Former SEC adviser | Aug 27, 2020 | May 25, 2022 | no | Miramar, FL|WAVERLY, IA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Nov 18, 2019 | Aug 11, 2020 | no | TUCSON, AZ|TUCSON, AZ|TUCSON, AZ | Previous registration |
| CUNA BROKERAGE SERVICES, INC. | Former SEC adviser | May 14, 2015 | Nov 7, 2019 | no | TUCSON, AZ|Tucson, AZ|Tucson, AZ|Tucson, AZ|Tucson, AZ|Wildomar, CA | Previous registration |
| EDWARD JONES | National bd RIA | Jun 26, 2013 | Apr 28, 2015 | no | ST LOUIS, MO|MARANA, AZ|TUCSON, AZ|TUCSON, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CUNA BROKERAGE SERVICES, INC. | LPL FINANCIAL LLC | May 25, 2022 | May 19, 2022 | -6 | Bulk transfer | Ibd to RIA |
| WELLS FARGO ADVISORS | CUNA BROKERAGE SERVICES, INC. | Aug 11, 2020 | Aug 27, 2020 | 16 | Firm change | Wirehouse to ibd |
| CUNA BROKERAGE SERVICES, INC. | WELLS FARGO ADVISORS | Nov 7, 2019 | Nov 18, 2019 | 11 | Firm change | Ibd to wirehouse |
| EDWARD JONES | CUNA BROKERAGE SERVICES, INC. | Apr 28, 2015 | May 14, 2015 | 16 | Firm change | Other |