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Advisor at LPL FINANCIAL LLC
BELLEVUE, WA
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 | Nov 29, 2017 | n/a | yes | BELLEVUE, WA | Current employment |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Jun 26, 2017 | Nov 29, 2017 | no | LOS ANGELES, CA|El Segundo, CA|ISSAQUAH, WA | Previous registration |
| B. RILEY WEALTH ADVISORS, INC. | Bd affiliated wealth | Oct 28, 2015 | Jun 30, 2017 | no | ISSAQUAH, WA | Previous registration |
| B. RILEY WEALTH ADVISORS, INC. | Bd affiliated wealth | May 2, 2014 | May 6, 2014 | no | ISSAQUAH, WA | Previous registration |
| ASSET & FINANCIAL PLANNING, LTD | Former SEC adviser | Mar 16, 2000 | May 6, 2014 | no | ISSAQUAH, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | LPL FINANCIAL LLC | Nov 29, 2017 | Nov 29, 2017 | 0 | Firm change | Other |
| B. RILEY WEALTH ADVISORS, INC. | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Jun 30, 2017 | Jun 26, 2017 | -4 | Firm change | Other |
| ASSET & FINANCIAL PLANNING, LTD | B. RILEY WEALTH ADVISORS, INC. | May 6, 2014 | May 2, 2014 | -4 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:6413:WA:2017-11-29 | Nov 29, 2017 | Nov 29, 2017 | ISSAQUAH, WA | Firm change |