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Advisor at LPL FINANCIAL LLC
SAN DIEGO, CA | TORRANCE, CA
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 | Oct 3, 2022 | n/a | yes | SAN DIEGO, CA|TORRANCE, CA|TORRANCE, CA | Current employment |
| THE ADVISORY GROUP | Former SEC adviser | Aug 2, 2000 | Dec 31, 2022 | no | TORRANCE, CA|DIAMOND BAR, CA | Previous registration |
| FSC SECURITIES CORPORATION | Former SEC adviser | Oct 13, 1993 | Oct 11, 2022 | no | TORRANCE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| THE ADVISORY GROUP | LPL FINANCIAL LLC | Dec 31, 2022 | Oct 3, 2022 | -89 | Firm change after gap | RIA to RIA |
| FSC SECURITIES CORPORATION | THE ADVISORY GROUP | Oct 11, 2022 | Aug 2, 2000 | -8,105 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 109175:6413:CA:2022-12-31 | Dec 31, 2022 | Oct 3, 2022 | DIAMOND BAR, CA | Firm change after gap |
| 7461:109175:CA:2022-10-11 | Oct 11, 2022 | Aug 2, 2000 | TORRANCE, CA | Firm change after gap |