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Advisor at LPL FINANCIAL LLC
CHICAGO, 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 | Mar 11, 2020 | n/a | yes | CHICAGO, IL | Current employment |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Mar 25, 2017 | Mar 13, 2020 | no | CHICAGO, IL|Chicago, IL|CHICAGO, IL | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Sep 8, 2016 | Mar 25, 2017 | no | CHICAGO, IL|CHICAGO, IL | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | May 2, 2014 | Sep 2, 2016 | no | CHICAGO, IL | Previous registration |
| MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. | Mixed wealth | Sep 28, 2006 | Feb 4, 2014 | no | CHICAGO, IL | Previous registration |
| MESIROW FINANCIAL, INC. | n/a | Nov 15, 1999 | Dec 31, 2009 | no | CHICAGO, IL|CHICAGO, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MML INVESTORS SERVICES, LLC | LPL FINANCIAL LLC | Mar 13, 2020 | Mar 11, 2020 | -2 | Firm change | Ibd to ibd |
| MSI FINANCIAL SERVICES, INC. | MML INVESTORS SERVICES, LLC | Mar 25, 2017 | Mar 25, 2017 | 0 | Bulk transfer | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MSI FINANCIAL SERVICES, INC. | Sep 2, 2016 | Sep 8, 2016 | 6 | Firm change | Other |
| MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Feb 4, 2014 | May 2, 2014 | 87 | Firm change | Other |
| MESIROW FINANCIAL, INC. | MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. | Dec 31, 2009 | Sep 28, 2006 | -1,190 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 10409:6413:IL:2020-03-03 | Mar 13, 2020 | Mar 11, 2020 | CHICAGO, IL | Firm change |