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Advisor at LPL FINANCIAL LLC
TEMPE, AZ | Queen Creek, AZ
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 | May 21, 2024 | n/a | yes | TEMPE, AZ|Queen Creek, AZ | Current employment |
| OSAIC WEALTH, INC. | Bd affiliated wealth | Sep 1, 2023 | May 2, 2024 | no | SCOTTSDALE, AZ | Previous registration |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Mar 28, 2022 | Sep 1, 2023 | no | SCOTTSDALE, AZ | Previous registration |
| MORGAN STANLEY | Wirehouse | Aug 17, 2018 | Apr 13, 2022 | no | GILBERT, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| OSAIC WEALTH, INC. | LPL FINANCIAL LLC | May 2, 2024 | May 21, 2024 | 19 | Firm change | Ibd to ibd |
| SAGEPOINT FINANCIAL, INC. | OSAIC WEALTH, INC. | Sep 1, 2023 | Sep 1, 2023 | 0 | Bulk transfer | Ibd to ibd |
| MORGAN STANLEY | SAGEPOINT FINANCIAL, INC. | Apr 13, 2022 | Mar 28, 2022 | -16 | Firm change | Wirehouse to ibd |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 23131:6413:AZ:2024-05-02 | May 2, 2024 | May 21, 2024 | SCOTTSDALE, AZ | Firm change |