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Advisor at LPL FINANCIAL LLC
AUSTIN, TX | HOUSTON, TX
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 6, 2012 | n/a | yes | HOUSTON, TX|AUSTIN, TX | Current employment |
| SANDERS MORRIS LLC | Independent wealth | Jun 10, 2010 | Aug 24, 2010 | no | HOUSTON, TX | Previous registration |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Jan 8, 2008 | May 6, 2009 | no | HOUSTON, TX|SCOTTSDALE, AZ | Previous registration |
| AMERICAN GENERAL SECURITIES INCORPORATED | n/a | Mar 20, 2007 | Oct 29, 2008 | no | HOUSTON, TX|HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SANDERS MORRIS LLC | LPL FINANCIAL LLC | Aug 24, 2010 | Jun 6, 2012 | 652 | Firm change after gap | Other |
| SAGEPOINT FINANCIAL, INC. | SANDERS MORRIS LLC | May 6, 2009 | Jun 10, 2010 | 400 | Firm change | Other |
| AMERICAN GENERAL SECURITIES INCORPORATED | SAGEPOINT FINANCIAL, INC. | Oct 29, 2008 | Jan 8, 2008 | -295 | Bulk transfer | Other |