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Advisor at LPL FINANCIAL LLC
OXNARD, 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 | Jan 20, 2025 | n/a | yes | OXNARD, CA | Current employment |
| SII INVESTMENTS, INC. | Former SEC adviser | Mar 18, 2013 | Feb 15, 2018 | no | OXNARD, CA|APPLETON, WI|OXNARD, CA|APPLETON, WI | Previous registration |
| EQUITABLE ADVISORS, LLC | National bd RIA | May 8, 2001 | Mar 19, 2013 | no | NEW YORK, NY|OXNARD, CA|OXNARD, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SII INVESTMENTS, INC. | LPL FINANCIAL LLC | Feb 15, 2018 | Jan 20, 2025 | 2,531 | Bulk transfer | Ibd to ibd |
| EQUITABLE ADVISORS, LLC | SII INVESTMENTS, INC. | Mar 19, 2013 | Mar 18, 2013 | -1 | Firm change | Other |