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Advisor at LPL FINANCIAL LLC
LEAWOOD, KS | COLBY, KS
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 | Jul 21, 2021 | n/a | yes | COLBY, KS|LEAWOOD, KS | Current employment |
| WADDELL & REED | Former SEC adviser | Feb 11, 2020 | Jul 21, 2021 | no | EDMOND, OK|SHAWNEE, KS|LEAWOOD, KS | Previous registration |
| BMO HARRIS FINANCIAL ADVISORS, INC | Former SEC adviser | Aug 1, 2012 | Feb 11, 2020 | no | LEAWOOD, KS|OLATHE, KS|LEAWOOD, KS | Previous registration |
| M&I FINANCIAL ADVISORS, INC. | Former SEC adviser | Apr 20, 2012 | Aug 1, 2012 | no | LEAWOOD, KS|LEAWOOD, KS|SHAWNEE, KS|ST JOSEPH, MO|LEAWOOD, KS|KANSAS CITY, MO | Previous registration |
| UBS FINANCIAL SERVICES INC. | Wirehouse | Sep 13, 2002 | Aug 1, 2006 | no | OVERLAND PARK, KS|OVERLAND PARKS, KS | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Sep 27, 1996 | Sep 19, 2002 | no | KANSAS CITY, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WADDELL & REED | LPL FINANCIAL LLC | Jul 21, 2021 | Jul 21, 2021 | 0 | Bulk transfer | Ibd to ibd |
| BMO HARRIS FINANCIAL ADVISORS, INC | WADDELL & REED | Feb 11, 2020 | Feb 11, 2020 | 0 | Firm change | Ibd to ibd |
| M&I FINANCIAL ADVISORS, INC. | BMO HARRIS FINANCIAL ADVISORS, INC | Aug 1, 2012 | Aug 1, 2012 | 0 | Channel change | Other |
| UBS FINANCIAL SERVICES INC. | M&I FINANCIAL ADVISORS, INC. | Aug 1, 2006 | Apr 20, 2012 | 2,089 | Firm change after gap | Wirehouse to new firm |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | UBS FINANCIAL SERVICES INC. | Sep 19, 2002 | Sep 13, 2002 | -6 | Firm change | Wirehouse to wirehouse |