DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at DB ADVISORS
SPRINGFIELD, MO
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 |
|---|---|---|---|---|---|---|
| DB ADVISORS | State registered | Mar 15, 2016 | n/a | yes | SPRINGFIELD, MO | Current employment |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jan 7, 2013 | Mar 21, 2016 | no | SPRINGFIELD, MO|FORT MILL, SC|SPRINGFIELD, MO|SPRINGFIELD, MO|SPRINGFIELD, MO|OZARK, MO|REPUBLIC, MO|BRANSON, MO | Previous registration |
| SAGEPOINT FINANCIAL, INC. | Former SEC adviser | Jun 1, 2011 | Jan 16, 2013 | no | SCOTTSDALE, AZ|SPRINGFIELD, MO | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jul 12, 2004 | May 31, 2011 | no | SPRINGFIELD, MO|SPRINGFIELD, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | DB ADVISORS | Mar 21, 2016 | Mar 15, 2016 | -6 | Firm change | Other |
| SAGEPOINT FINANCIAL, INC. | LPL FINANCIAL LLC | Jan 16, 2013 | Jan 7, 2013 | -9 | Firm change | Other |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | SAGEPOINT FINANCIAL, INC. | May 31, 2011 | Jun 1, 2011 | 1 | Firm change | Other |