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Advisor at LPL FINANCIAL LLC
OAK BROOK, IL
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 | Jul 21, 2021 | n/a | yes | OAK BROOK, IL | Current employment |
| WADDELL & REED | Former SEC adviser | Dec 18, 2019 | Jul 21, 2021 | no | OAK BROOK, IL|SAVAGE, MN | Previous registration |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Jun 19, 2019 | Dec 19, 2019 | no | LOMBARD, IL | Previous registration |
| FORESTERS ADVISORY SERVICES, LLC | Former SEC adviser | Oct 8, 2012 | Jun 25, 2019 | no | LOMBARD, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WADDELL & REED | LPL FINANCIAL LLC | Jul 21, 2021 | Jul 21, 2021 | 0 | Bulk transfer | Ibd to ibd |
| CETERA INVESTMENT ADVISERS LLC | WADDELL & REED | Dec 19, 2019 | Dec 18, 2019 | -1 | Firm change | Ibd to ibd |
| FORESTERS ADVISORY SERVICES, LLC | CETERA INVESTMENT ADVISERS LLC | Jun 25, 2019 | Jun 19, 2019 | -6 | Bulk transfer | Ibd to ibd |