DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at LPL FINANCIAL LLC
HIGHLAND VILLAGE, TX
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 | Feb 14, 2018 | n/a | yes | HIGHLAND VILLAGE, TX | Current employment |
| RFG WEALTH ADVISORY | Independent wealth | May 6, 2015 | Mar 13, 2017 | no | ARGYLE, TX | Previous registration |
| INVEST FINANCIAL CORPORATION | Former SEC adviser | Oct 26, 2010 | Feb 14, 2018 | no | LANTANA, TX|HIGHLAND VILLAGE, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| INVEST FINANCIAL CORPORATION | RFG WEALTH ADVISORY | Feb 14, 2018 | May 6, 2015 | -1,015 | Firm change after gap | Other |
| RFG WEALTH ADVISORY | LPL FINANCIAL LLC | Mar 13, 2017 | Feb 14, 2018 | 338 | Firm change | RIA to RIA |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 12984:173862:TX:2018-02-14 | Feb 14, 2018 | May 6, 2015 | HIGHLAND VILLAGE, TX | Firm change after gap |
| 173862:6413:TX:2017-03-13 | Mar 13, 2017 | Feb 14, 2018 | ARGYLE, TX | Firm change |