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Advisor at LPL FINANCIAL LLC
SAN DIEGO, CA | BRIGHTON, NY
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 | Apr 11, 2022 | n/a | yes | SAN DIEGO, CA|BRIGHTON, NY|BRIGHTON, NY | Current employment |
| KEY INVESTMENT SERVICES LLC | Bd affiliated wealth | Sep 21, 2016 | Apr 13, 2022 | no | PENFIELD, NY|Rochester, NY|Syracuse, NY|BROOKLYN, OH | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | May 15, 2012 | Sep 21, 2016 | no | SODUS, NY|ROCHESTER, NY|ROCHESTER, NY|WEBSTER, NY|ROCHESTER, NY|FAIRPORT, NY|ROCHESTER, NY|SODUS, NY|ROCHESTER, NY|PENFIELD, NY|LOCKPORT, NY|ROCHESTER, NY | Previous registration |
| HSBC SECURITIES (USA) INC. | Bd affiliated wealth | Jan 23, 2012 | May 15, 2012 | no | EAST ROCHESTER, NY|ROCHESTER, NY|ROCHESTER, NY|PENFIELD, NY|WEBSTER, NY|EAST ROCHESTER, NY | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| KEY INVESTMENT SERVICES LLC | LPL FINANCIAL LLC | Apr 13, 2022 | Apr 11, 2022 | -2 | Firm change | Ibd to RIA |
| LPL FINANCIAL LLC | KEY INVESTMENT SERVICES LLC | Sep 21, 2016 | Sep 21, 2016 | 0 | Firm change | Other |
| HSBC SECURITIES (USA) INC. | LPL FINANCIAL LLC | May 15, 2012 | May 15, 2012 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 136300:6413:OH:2022-03-31 | Apr 13, 2022 | Apr 11, 2022 | BROOKLYN, OH | Firm change |
| 6413:136300:NY:2016-09-21 | Sep 21, 2016 | Sep 21, 2016 | ROCHESTER, NY | Firm change |