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Advisor at LPL FINANCIAL LLC
LAGUNA HILLS, 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 | May 11, 2023 | n/a | yes | LAGUNA HILLS, CA|SAN DIEGO, CA|LAGUNA HILLS, CA | Current employment |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Oct 31, 2005 | May 15, 2023 | no | LAGUNA HILLS, CA | Previous registration |
| SUNAMERICA SECURITIES, INC. | n/a | Apr 19, 2005 | Oct 31, 2005 | no | LAGUNA HILLS, CA | Previous registration |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | May 6, 2004 | Apr 20, 2005 | no | LAGUNA HILLS, CA | Previous registration |
| GENWORTH FINANCIAL PLANNING CORPORATION | n/a | Jan 5, 2001 | Sep 30, 2004 | no | LAGUNA HILLS, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SAGEPOINT FINANCIAL, INC. | LPL FINANCIAL LLC | May 15, 2023 | May 11, 2023 | -4 | Firm change | Ibd to ibd |
| SUNAMERICA SECURITIES, INC. | SAGEPOINT FINANCIAL, INC. | Oct 31, 2005 | Oct 31, 2005 | 0 | Bulk transfer | Other |
| CETERA INVESTMENT ADVISERS LLC | SUNAMERICA SECURITIES, INC. | Apr 20, 2005 | Apr 19, 2005 | -1 | Firm change | Other |
| GENWORTH FINANCIAL PLANNING CORPORATION | CETERA INVESTMENT ADVISERS LLC | Sep 30, 2004 | May 6, 2004 | -147 | Firm change after gap | Other |