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Advisor at LPL FINANCIAL LLC
WINTER HAVEN, FL
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 | Jan 3, 2022 | n/a | yes | WINTER HAVEN, FL | Current employment |
| ALLEN & COMPANY OF FLORIDA, LLC | Former SEC adviser | Nov 23, 2019 | Mar 2, 2022 | no | WINTER HAVEN, FL|WINTER HAVEN, FL | Previous registration |
| ALLEN & COMPANY OF FLORIDA, LLC | Former SEC adviser | Sep 5, 2006 | Nov 22, 2019 | no | WINTER HAVEN, FL|WINTER HAVEN, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| ALLEN & COMPANY OF FLORIDA, LLC | LPL FINANCIAL LLC | Mar 2, 2022 | Jan 3, 2022 | -58 | Bulk transfer | RIA to ibd |