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Advisor at PROSPERA FINANCIAL SERVICES, INC.
Bend, OR
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 |
|---|---|---|---|---|---|---|
| PROSPERA FINANCIAL SERVICES, INC. | Bd affiliated wealth | Apr 13, 2021 | n/a | yes | Bend, OR | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Oct 2, 2020 | Apr 22, 2021 | no | BEND, OR|BEND, OR|BEND, OR | Previous registration |
| EK RILEY INVESTMENTS, LLC | Former SEC adviser | Jan 10, 2018 | Nov 6, 2020 | no | Bend, OR|Seattle, WA|SEATTLE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | PROSPERA FINANCIAL SERVICES, INC. | Apr 22, 2021 | Apr 13, 2021 | -9 | Firm change | Ibd to RIA |
| EK RILEY INVESTMENTS, LLC | LPL FINANCIAL LLC | Nov 6, 2020 | Oct 2, 2020 | -35 | Bulk transfer | RIA to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:10740:OR:2021-04-22 | Apr 22, 2021 | Apr 13, 2021 | BEND, OR | Firm change |