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Advisor at LPL FINANCIAL LLC
FORT MILL, SC | PASADENA, 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 | Jun 5, 2025 | n/a | yes | PASADENA, CA|FORT MILL, SC | Current employment |
| WESTERN INTERNATIONAL SECURITIES | Former SEC adviser | Nov 13, 2020 | Jun 5, 2025 | no | Pasadena, CA|Pasadena, CA|PASADENA, CA | Previous registration |
| RJJ PASADENA SECURITIES, INC. | Independent wealth | Oct 21, 2013 | Dec 11, 2020 | no | SOUTH PASADENA, CA|HENDERSON, NV | Previous registration |
| MORGAN STANLEY | Wirehouse | Mar 16, 2010 | Oct 28, 2013 | no | Los Angeles, CA | Previous registration |
| CITIGROUP GLOBAL MARKETS INC. | Bd affiliated wealth | May 29, 2007 | Mar 18, 2010 | no | PASADENA, CA|MONROVIA, CA|MONROVIA, CA | Previous registration |
| CITICORP INVESTMENT SERVICES | n/a | May 1, 2006 | May 29, 2007 | no | MONROVIA, CA|ARCADIA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WESTERN INTERNATIONAL SECURITIES | LPL FINANCIAL LLC | Jun 5, 2025 | Jun 5, 2025 | 0 | Bulk transfer | Ibd to ibd |
| RJJ PASADENA SECURITIES, INC. | WESTERN INTERNATIONAL SECURITIES | Dec 11, 2020 | Nov 13, 2020 | -28 | Firm change | RIA to ibd |
| MORGAN STANLEY | RJJ PASADENA SECURITIES, INC. | Oct 28, 2013 | Oct 21, 2013 | -7 | Firm change | Wirehouse to RIA |
| CITIGROUP GLOBAL MARKETS INC. | MORGAN STANLEY | Mar 18, 2010 | Mar 16, 2010 | -2 | Firm change | Other |
| CITICORP INVESTMENT SERVICES | CITIGROUP GLOBAL MARKETS INC. | May 29, 2007 | May 29, 2007 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8425:39262:NV:2020-12-11 | Dec 11, 2020 | Nov 13, 2020 | HENDERSON, NV | Firm change |