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Advisor at LPL FINANCIAL LLC
ANAHEIM HILLS, CA | YORBA LINDA, CA
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 | Mar 9, 2009 | n/a | yes | ANAHEIM HILLS, CA|YORBA LINDA, CA | Current employment |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Dec 13, 2002 | Mar 17, 2009 | no | NEWPORT BEACH, CA|NEWPORT BEACH, CA | Previous registration |
| PRUDENTIAL EQUITY GROUP, LLC | n/a | Jul 9, 1999 | Dec 19, 2002 | no | NEWPORT BEACH, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | LPL FINANCIAL LLC | Mar 17, 2009 | Mar 9, 2009 | -8 | Firm change | Other |
| PRUDENTIAL EQUITY GROUP, LLC | UBS FINANCIAL SERVICES INC. | Dec 19, 2002 | Dec 13, 2002 | -6 | Firm change | Other |