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Advisor at LPL FINANCIAL LLC
HOUSTON, TX | KATY, 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 | Jan 17, 2019 | n/a | yes | HOUSTON, TX|KATY, TX | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Dec 6, 2010 | Jan 22, 2019 | no | HOUSTON, TX|KATY, TX|KATY, TX|KATY, TX|HOUSTON, TX|HOUSTON, TX|HOUSTON, TX|CYPRESS, TX|HOUSTON, TX|MISSOURI CITY, TX|ADDISON, TX|HOUSTON, TX|KATY, TX|HOUSTON, TX|HOUSTON, TX|HOUSTON, TX | Previous registration |
| PNC MANAGED ACCOUNT SOLUTIONS, INC. | Former SEC adviser | Oct 15, 2010 | Dec 8, 2010 | no | HOUSTON, TX | Previous registration |
| ST JOHNS WEALTH MANAGEMENT | n/a | Mar 31, 2010 | Oct 15, 2010 | no | SUGARLAND, TX | Previous registration |
| BBVA COMPASS INVESTMENT SOLUTIONS, INC | n/a | Mar 13, 2003 | Mar 10, 2010 | no | SUGAR LAND, TX|SUGARLAND, TX|RICHMOND, TX|HOUSTON, TX|SUGAR LAND, TX|HOUSTON, TX|KATY, TX|HOUSTON, TX|SUGARLAND, TX|KATY, TX|MISSOURI CITY, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | LPL FINANCIAL LLC | Jan 22, 2019 | Jan 17, 2019 | -5 | Firm change | Wirehouse to RIA |
| PNC MANAGED ACCOUNT SOLUTIONS, INC. | WELLS FARGO ADVISORS | Dec 8, 2010 | Dec 6, 2010 | -2 | Firm change | Other |
| ST JOHNS WEALTH MANAGEMENT | PNC MANAGED ACCOUNT SOLUTIONS, INC. | Oct 15, 2010 | Oct 15, 2010 | 0 | Bulk transfer | Other |
| BBVA COMPASS INVESTMENT SOLUTIONS, INC | ST JOHNS WEALTH MANAGEMENT | Mar 10, 2010 | Mar 31, 2010 | 21 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 19616:6413:TX:2019-01-22 | Jan 22, 2019 | Jan 17, 2019 | HOUSTON, TX | Firm change |