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Advisor at LPL FINANCIAL LLC
SEEKONK, MA
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 5, 2025 | n/a | yes | SEEKONK, MA | Current employment |
| COMMONWEALTH FINANCIAL NETWORK | National bd RIA | Apr 21, 2017 | May 30, 2025 | no | Seekonk, MA | Previous registration |
| WELLS FARGO ADVISORS | Wirehouse | Jan 28, 2016 | Apr 24, 2017 | no | PROVIDENCE, RI | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Jan 2, 2015 | Jul 29, 2015 | no | EAST PROVIDENCE, RI | Previous registration |
| Mariner | Independent wealth | Jul 9, 2014 | Jul 28, 2015 | no | OVERLAND PARK,, KS | Previous registration |
| NEW ENGLAND SECURITIES CORPORATION | Former SEC adviser | Apr 3, 2014 | Jan 2, 2015 | no | EAST PROVIDENCE, RI|MARSHFIELD, MA|EAST PROVIDENCE, RI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| COMMONWEALTH FINANCIAL NETWORK | LPL FINANCIAL LLC | May 30, 2025 | Jun 5, 2025 | 6 | Firm change | Ibd to ibd |
| WELLS FARGO ADVISORS | COMMONWEALTH FINANCIAL NETWORK | Apr 24, 2017 | Apr 21, 2017 | -3 | Firm change | Wirehouse to ibd |
| MSI FINANCIAL SERVICES, INC. | WELLS FARGO ADVISORS | Jul 29, 2015 | Jan 28, 2016 | 183 | Firm change | Other |
| Mariner | MSI FINANCIAL SERVICES, INC. | Jul 28, 2015 | Jan 2, 2015 | -207 | Firm change after gap | Other |
| NEW ENGLAND SECURITIES CORPORATION | Mariner | Jan 2, 2015 | Jul 9, 2014 | -177 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 8032:6413:MA:2025-05-30 | May 30, 2025 | Jun 5, 2025 | SEEKONK, MA | Firm change |
| 19616:8032:RI:2017-04-24 | Apr 24, 2017 | Apr 21, 2017 | PROVIDENCE, RI | Firm change |
| 615:151664:RI:2015-01-02 | Jan 2, 2015 | Jul 9, 2014 | EAST PROVIDENCE, RI | Firm change after gap |