DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at LPL FINANCIAL LLC
AURORA, CO
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 | Feb 24, 2020 | n/a | yes | AURORA, CO | Current employment |
| TRILOGY CAPITAL, INC. | Independent wealth | Nov 23, 2015 | Jan 8, 2020 | no | Denver, CO|IRVINE, CA | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Jun 22, 2004 | Dec 6, 2017 | no | DENVER, CO|DENVER, CO|LOS ANGELES, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| TRILOGY CAPITAL, INC. | LPL FINANCIAL LLC | Jan 8, 2020 | Feb 24, 2020 | 47 | Firm change | RIA to ibd |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | TRILOGY CAPITAL, INC. | Dec 6, 2017 | Nov 23, 2015 | -744 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:281597:CA:2017-11-29 | Dec 6, 2017 | Nov 23, 2015 | LOS ANGELES, CA | Firm change after gap |