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Advisor at LPL FINANCIAL LLC
MURRIETA, CA | 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 | Oct 29, 2020 | n/a | yes | SAN DIEGO, CA|MURRIETA, CA | Current employment |
| CWM, LLC | Bd affiliated wealth | Apr 18, 2016 | Dec 8, 2020 | no | San Diego, CA | Previous registration |
| NAUTICA WEALTH ADVISORS | n/a | Mar 29, 2011 | Dec 7, 2016 | no | SAN DIEGO, CA|FALLBROOK, CA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jan 31, 2000 | Dec 23, 2016 | no | SAN DIEGO, CA|SAN DIEGO, CA|FALLBROOK, CA|SAN DIEGO, CA | Previous registration |
| WAYNE WARNER & ASSOCIATES | n/a | Jul 8, 1997 | Aug 31, 2011 | no | FALLBROOK, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CWM, LLC | LPL FINANCIAL LLC | Dec 8, 2020 | Oct 29, 2020 | -40 | Firm change after gap | Ibd to ibd |
| LPL FINANCIAL LLC | NAUTICA WEALTH ADVISORS | Dec 23, 2016 | Mar 29, 2011 | -2,096 | Firm change after gap | Other |
| NAUTICA WEALTH ADVISORS | CWM, LLC | Dec 7, 2016 | Apr 18, 2016 | -233 | Firm change after gap | Other |
| WAYNE WARNER & ASSOCIATES | LPL FINANCIAL LLC | Aug 31, 2011 | Jan 31, 2000 | -4,230 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 155344:6413:CA:2020-12-08 | Dec 8, 2020 | Oct 29, 2020 | SAN DIEGO, CA | Firm change after gap |
| 6413:111481:CA:2016-12-23 | Dec 23, 2016 | Mar 29, 2011 | SAN DIEGO, CA | Firm change after gap |
| 111481:155344:CA:2016-12-07 | Dec 7, 2016 | Apr 18, 2016 | FALLBROOK, CA | Firm change after gap |