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Advisor at LPL FINANCIAL LLC
MIDDLETOWN, DE | DOVER, DE | SMYRNA, DE
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 9, 2021 | n/a | yes | DOVER, DE|DOVER, DE|MIDDLETOWN, DE|SMYRNA, DE|MIDDLETOWN, DE | Current employment |
| M&T SECURITIES, INC. | n/a | Jun 5, 2012 | Jun 9, 2021 | no | WILKES-BARRE, PA|WILMINGTON, DE|MIDDLETOWN, DE|MIDDLETOWN, DE|DOVER, DE|DOVER, DE|SMYRNA, DE|HARRINGTON, DE|WILMINGTON, DE|HARRINGTON, DE|DOVER, DE|Wilmington, DE|BUFFALO, NY|WILKES-BARRE, PA|Wilmington, DE|WILKES-BARRE, PA|BALTIMORE, MD | Previous registration |
| INVEST FINANCIAL CORPORATION | Former SEC adviser | Sep 20, 2010 | Aug 23, 2011 | no | BEAR, DE|NEWARK, DE | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| M&T SECURITIES, INC. | LPL FINANCIAL LLC | Jun 9, 2021 | Jun 9, 2021 | 0 | Bulk transfer | Other |
| INVEST FINANCIAL CORPORATION | M&T SECURITIES, INC. | Aug 23, 2011 | Jun 5, 2012 | 287 | Firm change | Other |