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Advisor at LPL FINANCIAL LLC
DES MOINES, IA | PARAMUS, NJ | MONTVALE, NJ
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 22, 2021 | n/a | yes | PARAMUS, NJ|DES MOINES, IA|MONTVALE, NJ | Current employment |
| VOYA FINANCIAL ADVISORS, INC. | Bd affiliated wealth | Jan 7, 2020 | Apr 26, 2021 | no | INDIANOLA, IA|CHARLOTTE, NC | Previous registration |
| PRINCIPAL SECURITIES, INC. | Bd affiliated wealth | Feb 13, 2015 | Dec 31, 2018 | no | DES MOINES, IA|West Des Moines, IA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| VOYA FINANCIAL ADVISORS, INC. | LPL FINANCIAL LLC | Apr 26, 2021 | Apr 22, 2021 | -4 | Firm change | Ibd to ibd |
| PRINCIPAL SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | Dec 31, 2018 | Jan 7, 2020 | 372 | Firm change | Ibd to ibd |