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Advisor at LPL FINANCIAL LLC
MENOMONEE FALLS, WI
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 | Apr 20, 2021 | n/a | yes | MENOMONEE FALLS, WI | Current employment |
| INDEPENDENT ADVISOR ALLIANCE, LLC | Independent wealth | May 21, 2019 | Apr 22, 2021 | no | Sussex, WI | Previous registration |
| WADDELL & REED | Former SEC adviser | Dec 21, 1984 | May 23, 2019 | no | MENOMONEE FALLS, WI|WAUKESHA, WI|MENOMONEE FALLS, WI|SUSSEX, WI|HAMDEN, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INDEPENDENT ADVISOR ALLIANCE, LLC | LPL FINANCIAL LLC | Apr 22, 2021 | Apr 20, 2021 | -2 | Firm change | RIA to ibd |
| WADDELL & REED | INDEPENDENT ADVISOR ALLIANCE, LLC | May 23, 2019 | May 21, 2019 | -2 | Firm change | Ibd to RIA |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 866:168267:CT:2019-05-22 | May 23, 2019 | May 21, 2019 | HAMDEN, CT | Firm change |