DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at LPL FINANCIAL LLC
CHICAGO, IL | GLENVIEW, 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 | Jan 23, 2025 | n/a | yes | GLENVIEW, IL|CHICAGO, IL | Current employment |
| WINTRUST INVESTMENTS | Former SEC adviser | May 1, 2008 | Jan 23, 2025 | no | CHICAGO, IL|CHICAGO, IL|GLENVIEW, IL | Previous registration |
| GREAT LAKES ADVISORS, LLC | Other adviser | May 2, 2001 | Dec 31, 2006 | no | CHICAGO, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WINTRUST INVESTMENTS | LPL FINANCIAL LLC | Jan 23, 2025 | Jan 23, 2025 | 0 | Bulk transfer | RIA to ibd |
| GREAT LAKES ADVISORS, LLC | WINTRUST INVESTMENTS | Dec 31, 2006 | May 1, 2008 | 487 | Firm change after gap | Other |