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Advisor at LPL FINANCIAL LLC
DICKINSON, ND | GRAND FORKS, ND | FARGO, ND
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 | Nov 29, 2017 | n/a | yes | GRAND FORKS, ND|FARGO, ND|DICKINSON, ND|GRAND FORKS, ND | Current employment |
| ICA GROUP WEALTH MANAGEMENT, LLC | Former SEC adviser | Dec 6, 2021 | Sep 23, 2024 | no | Fargo, ND|DENVER, CO | Previous registration |
| INVESTMENT CENTERS OF AMERICA, INC. | Former SEC adviser | Dec 7, 2015 | Dec 5, 2017 | no | GRAND FORKS, ND|Fargo, ND|APPLETON, WI|Fargo, ND|BELFIELD, ND|APPLETON, WI | Previous registration |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Feb 22, 2012 | Dec 2, 2015 | no | FARGO, ND|GRAND FORKS, ND | Previous registration |
| INVESTMENT CENTERS OF AMERICA, INC. | Former SEC adviser | Nov 21, 2002 | Feb 22, 2012 | no | KINDRED, ND|FARGO, ND|FARGO, ND|FARGO, ND|GRAND FORKS, ND|GRAND FORKS, ND|WEST FARGO, ND|BEMIDJI, MN|HACKENSACK, MN|WALKER, MN|FARGO, ND | Previous registration |
| HOWARD WEIL INCORPORATED | n/a | Aug 29, 2000 | Oct 10, 2002 | no | FARGO, ND | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| ICA GROUP WEALTH MANAGEMENT, LLC | n/a | Sep 23, 2024 | n/a | n/a | Departure no registered destination | Departure |
| INVESTMENT CENTERS OF AMERICA, INC. | LPL FINANCIAL LLC | Dec 5, 2017 | Nov 29, 2017 | -6 | Bulk transfer | Other |
| SECURITIES AMERICA ADVISORS, INC. | INVESTMENT CENTERS OF AMERICA, INC. | Dec 2, 2015 | Dec 7, 2015 | 5 | Firm change | Other |
| INVESTMENT CENTERS OF AMERICA, INC. | SECURITIES AMERICA ADVISORS, INC. | Feb 22, 2012 | Feb 22, 2012 | 0 | Firm change | Other |
| HOWARD WEIL INCORPORATED | INVESTMENT CENTERS OF AMERICA, INC. | Oct 10, 2002 | Nov 21, 2002 | 42 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 110518:16443:ND:2015-12-01 | Dec 2, 2015 | Dec 7, 2015 | GRAND FORKS, ND | Firm change |