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Advisor at SOUTHERN PACIFIC ASSET MANAGEMENT L.L.C.
YUMA, AZ
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 |
|---|---|---|---|---|---|---|
| SOUTHERN PACIFIC ASSET MANAGEMENT L.L.C. | State registered | Mar 23, 2021 | n/a | yes | YUMA, AZ | Current employment |
| CWM, LLC | Bd affiliated wealth | Nov 11, 2019 | May 24, 2021 | no | Yuma, AZ | Previous registration |
| PRIVATE ADVISOR GROUP, LLC | Bd affiliated wealth | Jan 9, 2018 | Nov 12, 2019 | no | Yuma, AZ|MORRISTOWN, NJ | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jan 3, 2017 | Nov 22, 2019 | no | YUMA, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CWM, LLC | SOUTHERN PACIFIC ASSET MANAGEMENT L.L.C. | May 24, 2021 | Mar 23, 2021 | -62 | Firm change after gap | Ibd to state RIA |
| LPL FINANCIAL LLC | PRIVATE ADVISOR GROUP, LLC | Nov 22, 2019 | Jan 9, 2018 | -682 | Firm change after gap | Other |
| PRIVATE ADVISOR GROUP, LLC | CWM, LLC | Nov 12, 2019 | Nov 11, 2019 | -1 | Firm change | RIA to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:155216:AZ:2019-11-22 | Nov 22, 2019 | Jan 9, 2018 | YUMA, AZ | Firm change after gap |
| 155216:155344:NJ:2019-11-12 | Nov 12, 2019 | Nov 11, 2019 | MORRISTOWN, NJ | Firm change |