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Advisor at LPL FINANCIAL LLC
CLEARWATER, 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 | Feb 15, 2018 | n/a | yes | CLEARWATER, FL | Current employment |
| INVEST FINANCIAL CORPORATION | Former SEC adviser | Apr 6, 2009 | Feb 15, 2018 | no | CLEARWATER, FL|CLEARWATER, FL|APPLETON, WI | Previous registration |
| TRANSAMERICA FINANCIAL ADVISORS, LLC | Bd affiliated wealth | Jul 18, 2000 | Mar 31, 2009 | no | SAN DIEGO, CA|ST. PETERSBURG, FL|ST. PETERSBURG, FL|CLEARWATER, FL|ST. PETERSBURG, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INVEST FINANCIAL CORPORATION | LPL FINANCIAL LLC | Feb 15, 2018 | Feb 15, 2018 | 0 | Bulk transfer | Other |
| TRANSAMERICA FINANCIAL ADVISORS, LLC | INVEST FINANCIAL CORPORATION | Mar 31, 2009 | Apr 6, 2009 | 6 | Firm change | Other |