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Advisor at LPL ENTERPRISE, LLC
HAWTHORNE, CA | SHERMAN OAKS, 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 ENTERPRISE, LLC | Bd affiliated wealth | Nov 14, 2024 | n/a | yes | HAWTHORNE, CA|SHERMAN OAKS, CA | Current employment |
| PRUCO SECURITIES, LLC | No RAUM reported | Apr 28, 2021 | Nov 14, 2024 | no | EL SEGUNDO, CA|LOS ANGELES, CA|SHERMAN OAKS, CA | Previous registration |
| EQUITABLE ADVISORS, LLC | National bd RIA | May 18, 2018 | Feb 11, 2021 | no | IRVINE, CA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Nov 29, 2017 | Apr 23, 2018 | no | IRVINE, CA | Previous registration |
| TRILOGY CAPITAL, INC. | Independent wealth | Jan 21, 2016 | Mar 9, 2018 | no | Irvine, CA|IRVINE, CA | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Apr 10, 2013 | Nov 29, 2017 | no | IRVINE, CA|IRVINE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| PRUCO SECURITIES, LLC | LPL ENTERPRISE, LLC | Nov 14, 2024 | Nov 14, 2024 | 0 | Bulk transfer | Ibd to new firm |
| EQUITABLE ADVISORS, LLC | PRUCO SECURITIES, LLC | Feb 11, 2021 | Apr 28, 2021 | 76 | Firm change | Ibd to ibd |
| LPL FINANCIAL LLC | EQUITABLE ADVISORS, LLC | Apr 23, 2018 | May 18, 2018 | 25 | Firm change | RIA to ibd |
| TRILOGY CAPITAL, INC. | LPL FINANCIAL LLC | Mar 9, 2018 | Nov 29, 2017 | -100 | Firm change after gap | RIA to RIA |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | TRILOGY CAPITAL, INC. | Nov 29, 2017 | Jan 21, 2016 | -678 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 281597:6413:CA:2018-03-09 | Mar 9, 2018 | Nov 29, 2017 | IRVINE, CA | Firm change after gap |
| 29604:281597:CA:2017-11-29 | Nov 29, 2017 | Jan 21, 2016 | IRVINE, CA | Firm change after gap |