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Advisor at LPL FINANCIAL LLC
KAILUA KONA, HI
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 | Jan 12, 2026 | n/a | yes | KAILUA KONA, HI | Current employment |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | Oct 17, 2016 | Jan 13, 2026 | no | KAMUELA, HI|Kailua Kona, HI | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Oct 11, 2013 | Oct 15, 2016 | no | KAILUA-KONA, HI | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Oct 17, 2005 | Mar 6, 2012 | no | KAILUA-KONA, HI|KAILUA KONA, HI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | LPL FINANCIAL LLC | Jan 13, 2026 | Jan 12, 2026 | -1 | Firm change | Ibd to ibd |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Oct 15, 2016 | Oct 17, 2016 | 2 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Mar 6, 2012 | Oct 11, 2013 | 584 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 149018:6413:HI:2026-01-13 | Jan 13, 2026 | Jan 12, 2026 | KAILUA KONA, HI | Firm change |