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Advisor at LPL FINANCIAL LLC
SAN LEANDRO, 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 | Jan 1, 2025 | n/a | yes | SAN LEANDRO, CA | Current employment |
| SORRENTO PACIFIC FINANCIAL, LLC | Former SEC adviser | Jun 5, 2015 | Nov 15, 2016 | no | SAN LEANDRO, CA|SAN DIEGO, CA | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Nov 9, 2012 | May 19, 2015 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| WADDELL & REED | Former SEC adviser | Jun 29, 2011 | Nov 15, 2011 | no | SAN MATEO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SORRENTO PACIFIC FINANCIAL, LLC | LPL FINANCIAL LLC | Nov 15, 2016 | Jan 1, 2025 | 2,969 | Firm change after gap | Other |
| J.P. MORGAN SECURITIES LLC | SORRENTO PACIFIC FINANCIAL, LLC | May 19, 2015 | Jun 5, 2015 | 17 | Firm change | Other |
| WADDELL & REED | J.P. MORGAN SECURITIES LLC | Nov 15, 2011 | Nov 9, 2012 | 360 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 127787:6413:CA:2016-11-15 | Nov 15, 2016 | Jan 1, 2025 | SAN DIEGO, CA | Firm change after gap |