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Advisor at AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Rockford, IL | EAGLE, ID
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 |
|---|---|---|---|---|---|---|
| AMERICAN INDEPENDENT SECURITIES GROUP, LLC | Independent wealth | Jan 27, 2022 | n/a | yes | Rockford, IL|EAGLE, ID|EAGLE, ID | Current employment |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Jan 11, 2021 | Jul 27, 2021 | no | Milwaukee, WI | Previous registration |
| D.A. DAVIDSON & CO. | Independent wealth | Mar 11, 2019 | May 6, 2020 | no | GREAT FALLS, MT | Previous registration |
| JOHN F SUBY WEALTH MANAGEMENT LLC | Independent wealth | Jun 20, 2017 | Mar 1, 2019 | no | MADISON, WI | Previous registration |
| H. BECK, INC. | Former SEC adviser | Apr 16, 2015 | Mar 15, 2017 | no | Rockville, MD | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Oct 15, 2013 | Dec 8, 2014 | no | ROCKFORD, IL|SAN DIEGO, CA|SAN DIEGO, CA|CEDAR FALLS, IA | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Sep 28, 2012 | Sep 20, 2013 | no | NEW YORK, NY|COLUMBUS, OH | Previous registration |
| AMCORE INVESTMENT SERVICES, INC | n/a | Mar 2, 2009 | Sep 30, 2010 | no | ROCKFORD, IL|ROCKFORD, IL|ROCKFORD, IL|ROCKFORD, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | AMERICAN INDEPENDENT SECURITIES GROUP, LLC | Jul 27, 2021 | Jan 27, 2022 | 184 | Firm change | Other |
| D.A. DAVIDSON & CO. | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | May 6, 2020 | Jan 11, 2021 | 250 | Firm change | Other |
| JOHN F SUBY WEALTH MANAGEMENT LLC | D.A. DAVIDSON & CO. | Mar 1, 2019 | Mar 11, 2019 | 10 | Firm change | RIA to RIA |
| H. BECK, INC. | JOHN F SUBY WEALTH MANAGEMENT LLC | Mar 15, 2017 | Jun 20, 2017 | 97 | Firm change | Other |
| LPL FINANCIAL LLC | H. BECK, INC. | Dec 8, 2014 | Apr 16, 2015 | 129 | Firm change | Other |
| J.P. MORGAN SECURITIES LLC | LPL FINANCIAL LLC | Sep 20, 2013 | Oct 15, 2013 | 25 | Firm change | Other |
| AMCORE INVESTMENT SERVICES, INC | J.P. MORGAN SECURITIES LLC | Sep 30, 2010 | Sep 28, 2012 | 729 | Firm change after gap | Other |