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Advisor at LPL FINANCIAL LLC
GRIFFITH, IN
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 | Aug 14, 2021 | n/a | yes | GRIFFITH, IN | Current employment |
| CETERA ADVISORS LLC | Former SEC adviser | Oct 3, 2016 | Jul 15, 2021 | no | PORTER, IN | Previous registration |
| INVESTORS CAPITAL ADVISORY | Former SEC adviser | Oct 22, 2013 | Oct 3, 2016 | no | HIGHLAND, IN|LYNNFIELD, MA|WHITING, IN|SAINT JOHN, IN|LYNNFIELD, MA | Previous registration |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | Jun 15, 2011 | Oct 23, 2013 | no | HOBART, IN | Previous registration |
| FIFTH THIRD SECURITIES, INC. | Bd affiliated wealth | Dec 6, 2007 | Oct 8, 2010 | no | MERRILLVILLE, IN|SCHERERVILLE, IN | Previous registration |
| FIFTH THIRD SECURITIES, INC. | Bd affiliated wealth | Aug 9, 2007 | Oct 5, 2007 | no | SCHERERVILLE, IN|MERRILLVILLE, IN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA ADVISORS LLC | LPL FINANCIAL LLC | Jul 15, 2021 | Aug 14, 2021 | 30 | Firm change | Ibd to ibd |
| INVESTORS CAPITAL ADVISORY | CETERA ADVISORS LLC | Oct 3, 2016 | Oct 3, 2016 | 0 | Channel change | Other |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | INVESTORS CAPITAL ADVISORY | Oct 23, 2013 | Oct 22, 2013 | -1 | Firm change | Other |
| FIFTH THIRD SECURITIES, INC. | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Oct 8, 2010 | Jun 15, 2011 | 250 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 10299:6413:IN:2021-07-15 | Jul 15, 2021 | Aug 14, 2021 | PORTER, IN | Firm change |
| 30613:10299:MA:2016-10-03 | Oct 3, 2016 | Oct 3, 2016 | LYNNFIELD, MA | Firm change |