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Advisor at LPL FINANCIAL LLC
TIGARD, 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 |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | Bd affiliated wealth | Sep 28, 2020 | n/a | yes | TIGARD, OR | Current employment |
| WELLS FARGO ADVISORS | Wirehouse | Apr 17, 2015 | Sep 29, 2020 | no | TIGARD, OR | Previous registration |
| MORGAN STANLEY | Wirehouse | Jun 1, 2009 | Apr 27, 2015 | no | Lake Oswego, OR | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Oct 3, 2008 | Jun 1, 2009 | no | LAKE OSWEGO, OR | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | May 24, 2002 | Oct 10, 2008 | no | LAKE OSWEGO, OR|LAKE OSWEGO, OR | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | LPL FINANCIAL LLC | Sep 29, 2020 | Sep 28, 2020 | -1 | Firm change | Wirehouse to ibd |
| MORGAN STANLEY | WELLS FARGO ADVISORS | Apr 27, 2015 | Apr 17, 2015 | -10 | Firm change | Wirehouse to wirehouse |
| MORGAN STANLEY & CO. LLC | MORGAN STANLEY | Jun 1, 2009 | Jun 1, 2009 | 0 | Bulk transfer | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MORGAN STANLEY & CO. LLC | Oct 10, 2008 | Oct 3, 2008 | -7 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 11025:6413:OR:2020-09-29 | Sep 29, 2020 | Sep 28, 2020 | TIGARD, OR | Firm change |
| 149777:11025:OR:2015-04-27 | Apr 27, 2015 | Apr 17, 2015 | LAKE OSWEGO, OR | Firm change |