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Advisor at LPL FINANCIAL LLC
SAN DIEGO, CA | Palestine, TX
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 | Jul 12, 2024 | n/a | yes | SAN DIEGO, CA|Palestine, TX | Current employment |
| NEWEDGE ADVISORS | Bd affiliated wealth | Nov 1, 2021 | Jul 2, 2024 | no | NEW ORLEANS, LA|Manderson, WY | Previous registration |
| MID ATLANTIC FINANCIAL MANAGEMENT, INC. | Former SEC adviser | Sep 15, 2015 | Nov 1, 2021 | no | Tensleep, WY|PITTSBURGH, PA|MANDERSON, WY | Previous registration |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | Jul 17, 2012 | Oct 8, 2015 | no | SAN DIEGO, CA|GREELEY, CO | Previous registration |
| AVANTAX ADVISORY SERVICES | Former SEC adviser | Feb 15, 2012 | Jun 18, 2012 | no | GREELY, CO | Previous registration |
| CETERA ADVISOR NETWORKS LLC | Former SEC adviser | Nov 7, 2003 | Jun 16, 2004 | no | GRAND JUNCTION, CO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NEWEDGE ADVISORS | LPL FINANCIAL LLC | Jul 2, 2024 | Jul 12, 2024 | 10 | Firm change | Ibd to ibd |
| MID ATLANTIC FINANCIAL MANAGEMENT, INC. | NEWEDGE ADVISORS | Nov 1, 2021 | Nov 1, 2021 | 0 | Bulk transfer | Ibd to ibd |
| FIRST ALLIED ADVISORY SERVICES, INC. | MID ATLANTIC FINANCIAL MANAGEMENT, INC. | Oct 8, 2015 | Sep 15, 2015 | -23 | Firm change | Other |
| AVANTAX ADVISORY SERVICES | FIRST ALLIED ADVISORY SERVICES, INC. | Jun 18, 2012 | Jul 17, 2012 | 29 | Firm change | Other |
| CETERA ADVISOR NETWORKS LLC | AVANTAX ADVISORY SERVICES | Jun 16, 2004 | Feb 15, 2012 | 2,800 | Firm change after gap | Other |