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Advisor at LPL FINANCIAL LLC
SAN DIEGO, CA | EL CAJON, 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 | Sep 1, 2020 | n/a | yes | SAN DIEGO, CA|EL CAJON, CA | Current employment |
| LUCIA CAPITAL GROUP | Former SEC adviser | Apr 21, 2010 | Oct 9, 2020 | no | SAN DIEGO, CA | Previous registration |
| RJL FINANCIAL NETWORK, L.L.C. | n/a | Apr 22, 2004 | Jun 6, 2006 | no | OMAHA, NE | Previous registration |
| THE ADVISORS GROUP, INC. | n/a | Jul 8, 1997 | Sep 30, 2002 | no | SAN DIEGO, CA | Previous registration |
| RAYMOND J. LUCIA COMPANIES, INC. | n/a | Apr 4, 1996 | Dec 7, 2010 | no | SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LUCIA CAPITAL GROUP | LPL FINANCIAL LLC | Oct 9, 2020 | Sep 1, 2020 | -38 | Firm change after gap | RIA to ibd |
| RAYMOND J. LUCIA COMPANIES, INC. | THE ADVISORS GROUP, INC. | Dec 7, 2010 | Jul 8, 1997 | -4,900 | Firm change after gap | Other |
| RJL FINANCIAL NETWORK, L.L.C. | LUCIA CAPITAL GROUP | Jun 6, 2006 | Apr 21, 2010 | 1,415 | Firm change after gap | Other |
| THE ADVISORS GROUP, INC. | RJL FINANCIAL NETWORK, L.L.C. | Sep 30, 2002 | Apr 22, 2004 | 570 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 152396:6413:CA:2020-10-05 | Oct 9, 2020 | Sep 1, 2020 | SAN DIEGO, CA | Firm change after gap |