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Advisor at LPL FINANCIAL LLC
REDWOOD CITY, CA | SAN JOSE, CA | STANFORD, 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 | Apr 30, 2012 | n/a | yes | SAN JOSE, CA|STANFORD, CA|REDWOOD CITY, CA|STANFORD, CA|STANFORD, CA | Current employment |
| MARINER ADVISOR NETWORK | Bd affiliated wealth | Jul 18, 2017 | Aug 21, 2026 | no | Stanford, CA | Previous registration |
| PFG ADVISORS | Independent wealth | May 13, 2015 | Oct 11, 2017 | no | STANFORD, CA|STANFORD, CA|MENLO PARK, CA | Previous registration |
| CHASE INVESTMENT SERVICES CORP. | Former SEC adviser | May 2, 2009 | Apr 17, 2012 | no | PETALUMA, CA|SAN RAFAEL, CA|PETALUMA, CA|PALO ALTO, CA|PORTOLA VALLEY, CA | Previous registration |
| WAMU INVESTMENTS, INC. | n/a | Jun 12, 2007 | May 2, 2009 | no | PETALUMA, CA|CORTE MADERA, CA|TIBURON, CA|GREENBRAE, CA|SAN RAFAEL, CA|SAN RAFAEL, CA|PETALUMA, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MARINER ADVISOR NETWORK | n/a | Aug 21, 2026 | n/a | n/a | Departure no registered destination | Departure |
| PFG ADVISORS | MARINER ADVISOR NETWORK | Oct 11, 2017 | Jul 18, 2017 | -85 | Firm change after gap | Other |
| CHASE INVESTMENT SERVICES CORP. | LPL FINANCIAL LLC | Apr 17, 2012 | Apr 30, 2012 | 13 | Firm change | Other |
| WAMU INVESTMENTS, INC. | CHASE INVESTMENT SERVICES CORP. | May 2, 2009 | May 2, 2009 | 0 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 173344:283824:CA:2017-10-11 | Oct 11, 2017 | Jul 18, 2017 | MENLO PARK, CA | Firm change after gap |