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Advisor at NWF ADVISORY SERVICES INC
LOS ANGELES, CA | Newport Beach, 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 |
|---|---|---|---|---|---|---|
| NWF ADVISORY SERVICES INC | Independent wealth | Sep 12, 2019 | n/a | yes | Newport Beach, CA|LOS ANGELES, CA | Current employment |
| VOYA FINANCIAL ADVISORS, INC. | Bd affiliated wealth | Aug 3, 2016 | Sep 11, 2019 | no | Newport Beach, CA|Windsor, CT|Denver, CO | Previous registration |
| INVESTORS CAPITAL ADVISORY | Former SEC adviser | Mar 16, 2009 | Aug 1, 2016 | no | TUSTIN, CA|IRVINE, CA|LYNNFIELD, MA|LYNNFIELD, MA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Oct 17, 2007 | Mar 16, 2009 | no | IRVINE, CA|FORT MILL, SC|IRVINE, CA|IRVINE, CA | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Oct 13, 2003 | Oct 24, 2007 | no | IRVINE, CA|GLENDALE, CA|IRVINE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| VOYA FINANCIAL ADVISORS, INC. | NWF ADVISORY SERVICES INC | Sep 11, 2019 | Sep 12, 2019 | 1 | Firm change | Ibd to RIA |
| INVESTORS CAPITAL ADVISORY | VOYA FINANCIAL ADVISORS, INC. | Aug 1, 2016 | Aug 3, 2016 | 2 | Firm change | Other |
| LPL FINANCIAL LLC | INVESTORS CAPITAL ADVISORY | Mar 16, 2009 | Mar 16, 2009 | 0 | Firm change | Other |
| AMERIPRISE FINANCIAL SERVICES, LLC | LPL FINANCIAL LLC | Oct 24, 2007 | Oct 17, 2007 | -7 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 2882:110410:CO:2019-09-11 | Sep 11, 2019 | Sep 12, 2019 | DENVER, CO | Firm change |
| 30613:2882:MA:2016-07-23 | Aug 1, 2016 | Aug 3, 2016 | LYNNFIELD, MA | Firm change |