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Advisor at LPL FINANCIAL LLC
CLIVE, IA
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 | Oct 2, 2020 | n/a | yes | CLIVE, IA | Current employment |
| OSAIC WEALTH, INC. | Bd affiliated wealth | Nov 2, 2018 | Oct 5, 2020 | no | CLIVE, IA|JOHNSTON, IA | Previous registration |
| SIGNATOR INVESTORS, INC. | Former SEC adviser | Mar 7, 2017 | Nov 2, 2018 | no | CLIVE, IA|CLIVE, IA|JOHNSTON, IA|JOHNSTON, IA | Previous registration |
| AMERITAS ADVISORY SERVICES | Former SEC adviser | Jan 20, 2012 | Mar 9, 2017 | no | CLIVE, IA|W Des Moines, IA | Previous registration |
| DEWAAY CAPITAL MANAGEMENT | Former SEC adviser | May 10, 2007 | Aug 2, 2011 | no | WEST DES MOINES, IA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OSAIC WEALTH, INC. | LPL FINANCIAL LLC | Oct 5, 2020 | Oct 2, 2020 | -3 | Firm change | Ibd to ibd |
| SIGNATOR INVESTORS, INC. | OSAIC WEALTH, INC. | Nov 2, 2018 | Nov 2, 2018 | 0 | Bulk transfer | Ibd to ibd |
| AMERITAS ADVISORY SERVICES | SIGNATOR INVESTORS, INC. | Mar 9, 2017 | Mar 7, 2017 | -2 | Firm change | Other |
| DEWAAY CAPITAL MANAGEMENT | AMERITAS ADVISORY SERVICES | Aug 2, 2011 | Jan 20, 2012 | 171 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 23131:6413:IA:2020-10-05 | Oct 5, 2020 | Oct 2, 2020 | JOHNSTON, IA | Firm change |
| 14869:468:IA:2017-02-24 | Mar 9, 2017 | Mar 7, 2017 | W DES MOINES, IA | Firm change |