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Advisor at COMMONWEALTH FINANCIAL NETWORK
Oxnard, 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 |
|---|---|---|---|---|---|---|
| COMMONWEALTH FINANCIAL NETWORK | National bd RIA | Sep 29, 2017 | n/a | yes | Oxnard, CA | Current employment |
| UNITED CAPITAL FINANCIAL ADVISORS | Independent wealth | Aug 30, 2005 | Sep 29, 2017 | no | OXNARD, CA | Previous registration |
| GIRARD SECURITIES, INC. | Former SEC adviser | May 31, 2005 | Sep 29, 2017 | no | OXNARD, CA|SAN DIEGO, CA|NEWPORT BEACH, CA|OXNARD, CA | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Dec 15, 1997 | Jun 3, 2005 | no | OXNARD, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| UNITED CAPITAL FINANCIAL ADVISORS | COMMONWEALTH FINANCIAL NETWORK | Sep 29, 2017 | Sep 29, 2017 | 0 | Firm change | Other |
| GIRARD SECURITIES, INC. | UNITED CAPITAL FINANCIAL ADVISORS | Sep 29, 2017 | Aug 30, 2005 | -4,413 | Firm change after gap | Other |
| AMERIPRISE FINANCIAL SERVICES, LLC | GIRARD SECURITIES, INC. | Jun 3, 2005 | May 31, 2005 | -3 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 134600:8032:CA:2017-09-29 | Sep 29, 2017 | Sep 29, 2017 | OXNARD, CA | Firm change |
| 18697:134600:CA:2017-09-29 | Sep 29, 2017 | Aug 30, 2005 | OXNARD, CA | Firm change after gap |