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Advisor at LPL FINANCIAL LLC
WESTLAKE VILLAGE, CA | SANTA ROSA, 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 | Jun 5, 2025 | n/a | yes | WESTLAKE VILLAGE, CA|SANTA ROSA, CA | Current employment |
| WESTERN INTERNATIONAL SECURITIES | Former SEC adviser | Nov 16, 2015 | Jun 5, 2025 | no | Westlake Village, CA | Previous registration |
| MONTICELLO INVESTMENT SERVICES, INC. | Former SEC adviser | Mar 19, 2012 | Nov 30, 2015 | no | NEOSHO, MO|CALABASAS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WESTERN INTERNATIONAL SECURITIES | LPL FINANCIAL LLC | Jun 5, 2025 | Jun 5, 2025 | 0 | Bulk transfer | Ibd to ibd |
| MONTICELLO INVESTMENT SERVICES, INC. | WESTERN INTERNATIONAL SECURITIES | Nov 30, 2015 | Nov 16, 2015 | -14 | Firm change | Other |