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Advisor at LPL FINANCIAL LLC
LARKSPUR, 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 | May 1, 2020 | n/a | yes | LARKSPUR, CA | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Nov 16, 2015 | May 5, 2020 | no | CORTE MADERA, CA|MILL VALLEY, CA|NOVATO, CA|SAN RAFAEL, CA|GREENBRAE, CA|POINT REYES STATION, CA|POINT REYES STATION, CA | Previous registration |
| U.S. BANCORP ADVISORS, LLC | Bd affiliated wealth | Jul 17, 2014 | Nov 30, 2015 | no | SAN RAFAEL, CA|SONOMA, CA|SAN RAFAEL, CA|SAN FRANCISCO, CA|SAN FRANCISCO, CA|SONOMA, CA|SAN FRANCISCO, CA|SAN RAFAEL, CA|SAN FRANCISCO, CA|KENTFIELD, CA|SAN ANSELMO, CA|MILL VALLEY, CA|MILL VALLEY, CA|TIBURON, CA|CORTE MADERA, CA|DALY CITY, CA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Jul 22, 2011 | Apr 18, 2013 | no | SANTA ROSA, CA|PETALUMA, CA|PETALUMA, CA | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | Jun 20, 2011 | Jul 12, 2011 | no | TUCSON, AZ|TUCSON, AZ|TUCSON, AZ|TUCSON, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | LPL FINANCIAL LLC | May 5, 2020 | May 1, 2020 | -4 | Firm change | Wirehouse to ibd |
| U.S. BANCORP ADVISORS, LLC | WELLS FARGO ADVISORS | Nov 30, 2015 | Nov 16, 2015 | -14 | Firm change | Other |
| WELLS FARGO ADVISORS | U.S. BANCORP ADVISORS, LLC | Apr 18, 2013 | Jul 17, 2014 | 455 | Firm change after gap | Other |
| CHASE INVESTMENT SERVICES CORP. | WELLS FARGO ADVISORS | Jul 12, 2011 | Jul 22, 2011 | 10 | Firm change | Other |