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Advisor at LPL FINANCIAL LLC
SAN DIEGO, 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 |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | Bd affiliated wealth | May 8, 2009 | n/a | yes | SAN DIEGO, CA | Current employment |
| INDEPENDENT ADVISERS GROUP CORP | Former SEC adviser | Feb 15, 2013 | Apr 20, 2015 | no | SAN DIEGO, CA | Previous registration |
| UVEST FINANCIAL SERVICES GROUP, INC. | n/a | Mar 28, 2007 | Dec 31, 2011 | no | CHARLOTTE, NC|CHARLOTTE, NC|CHARLOTTE, NC | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jan 28, 2004 | Feb 21, 2007 | no | SAN DIEGO, CA|SAN DIEGO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INDEPENDENT ADVISERS GROUP CORP | n/a | Apr 20, 2015 | n/a | n/a | Departure no registered destination | Departure |
| UVEST FINANCIAL SERVICES GROUP, INC. | LPL FINANCIAL LLC | Dec 31, 2011 | May 8, 2009 | -967 | Firm change after gap | Other |
| LPL FINANCIAL LLC | UVEST FINANCIAL SERVICES GROUP, INC. | Feb 21, 2007 | Mar 28, 2007 | 35 | Firm change | Other |