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Advisor at LPL FINANCIAL LLC
BROOKFIELD, WI
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 | Apr 16, 2021 | n/a | yes | BROOKFIELD, WI | Current employment |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Aug 2, 2018 | Apr 23, 2019 | no | Wauwatosa, WI | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Dec 12, 2016 | Mar 7, 2018 | no | WAUKESHA, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MML INVESTORS SERVICES, LLC | LPL FINANCIAL LLC | Apr 23, 2019 | Apr 16, 2021 | 724 | Firm change after gap | Ibd to ibd |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MML INVESTORS SERVICES, LLC | Mar 7, 2018 | Aug 2, 2018 | 148 | Firm change | Wirehouse to ibd |