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Advisor at EDWARD JONES
SAN LUIS OBISPO, 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 |
|---|---|---|---|---|---|---|
| EDWARD JONES | National bd RIA | Mar 8, 2024 | n/a | yes | SAN LUIS OBISPO, CA | Current employment |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | May 12, 2022 | Dec 24, 2023 | no | Minneapolis, MN|MINNEAPOLIS, MN | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jun 4, 2018 | Nov 12, 2021 | no | BAKERSFIELD, CA|BORON, CA|TEHACHAPI, CA|CALIFORNIA CITY, CA|KERNVILLE, CA|LAKE ISABELLA, CA|BAKERSFIELD, CA|BISHOP, CA|LONE PINE, CA|RIDGECREST, CA|RIDGECREST, CA|ATASCADERO, CA|SAN LUIS OBISPO, CA|BAKERSFIELD, CA|GOLETA, CA|LOS ANGELES, CA|ONTARIO, CA|PASO ROBLES, CA|SALINAS, CA|SAN JOSE, CA|SAN MATEO, CA|OAKLAND, CA|GILROY, CA|SAN FRANCISCO, CA|SAN FRANCISCO, CA|OAKLAND, CA|SAN FRANCISCO, CA | Previous registration |
| TD AMERITRADE, INC. | Former SEC adviser | Feb 27, 2018 | Jun 8, 2018 | no | SAN LUIS OBISPO, CA | Previous registration |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Former SEC adviser | Feb 26, 2018 | Jun 8, 2018 | no | OMAHA, NE | Previous registration |
| SCOTTRADE INVESTMENT MANAGEMENT | Former SEC adviser | Jan 17, 2017 | Feb 26, 2018 | no | SAINT LOUIS, MO | Previous registration |
| VALIC FINANCIAL ADVISORS, INC. | Bd affiliated wealth | May 5, 2015 | Jan 11, 2017 | no | Glendale, CA|WOODLAND HILLS, CA | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Jul 3, 2014 | Apr 20, 2015 | no | SAN LUIS OBISPO, CA|LOS OSOS, CA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Feb 14, 2014 | Jun 4, 2014 | no | SANTA MARIA, CA|SAN DIEGO, CA | Previous registration |
| MORGAN STANLEY | Wirehouse | Jan 1, 2013 | Feb 21, 2014 | no | San Luis Obispo, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | EDWARD JONES | Dec 24, 2023 | Mar 8, 2024 | 75 | Firm change | Ibd to ibd |
| LPL FINANCIAL LLC | AMERIPRISE FINANCIAL SERVICES, LLC | Nov 12, 2021 | May 12, 2022 | 181 | Firm change | Ibd to ibd |
| TD AMERITRADE INVESTMENT MANAGEMENT, LLC | TD AMERITRADE, INC. | Jun 8, 2018 | Feb 27, 2018 | -101 | Bulk transfer | Other |
| TD AMERITRADE, INC. | LPL FINANCIAL LLC | Jun 8, 2018 | Jun 4, 2018 | -4 | Firm change | Other |
| SCOTTRADE INVESTMENT MANAGEMENT | TD AMERITRADE INVESTMENT MANAGEMENT, LLC | Feb 26, 2018 | Feb 26, 2018 | 0 | Bulk transfer | Ibd to RIA |
| VALIC FINANCIAL ADVISORS, INC. | SCOTTRADE INVESTMENT MANAGEMENT | Jan 11, 2017 | Jan 17, 2017 | 6 | Firm change | Other |
| J.P. MORGAN SECURITIES LLC | VALIC FINANCIAL ADVISORS, INC. | Apr 20, 2015 | May 5, 2015 | 15 | Firm change | Other |
| LPL FINANCIAL LLC | J.P. MORGAN SECURITIES LLC | Jun 4, 2014 | Jul 3, 2014 | 29 | Firm change | Other |
| MORGAN STANLEY | LPL FINANCIAL LLC | Feb 21, 2014 | Feb 14, 2014 | -7 | Firm change | Other |