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Advisor at LPL FINANCIAL LLC
HALLSVILLE, TX | MAPLE GROVE, MN | HUNTINGTON BEACH, 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 | Dec 15, 2021 | n/a | yes | MAPLE GROVE, MN|HUNTINGTON BEACH, CA|HALLSVILLE, TX | Current employment |
| SECURITIES AMERICA ADVISORS, INC. | Former SEC adviser | Oct 16, 2017 | Dec 21, 2021 | no | HUNTINGTON BEACH, CA | Previous registration |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Former SEC adviser | Oct 23, 2015 | Oct 24, 2017 | no | Orange, CA | Previous registration |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | Jul 2, 2012 | Oct 23, 2015 | no | ORANGE, CA | Previous registration |
| FIRST ALLIED SECURITIES, INC. | Former SEC adviser | Sep 6, 2011 | Jul 2, 2012 | no | SAN DIEGO, CA|SAN JOSE, CA|ORANGE, CA | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | May 23, 2008 | Sep 16, 2011 | no | WALNUT CREEK, CA|ORANGE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SECURITIES AMERICA ADVISORS, INC. | LPL FINANCIAL LLC | Dec 21, 2021 | Dec 15, 2021 | -6 | Bulk transfer | Ibd to ibd |
| NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | SECURITIES AMERICA ADVISORS, INC. | Oct 24, 2017 | Oct 16, 2017 | -8 | Firm change | Other |
| FIRST ALLIED ADVISORY SERVICES, INC. | NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) | Oct 23, 2015 | Oct 23, 2015 | 0 | Firm change | Other |
| FIRST ALLIED SECURITIES, INC. | FIRST ALLIED ADVISORY SERVICES, INC. | Jul 2, 2012 | Jul 2, 2012 | 0 | Bulk transfer | Other |
| MSI FINANCIAL SERVICES, INC. | FIRST ALLIED SECURITIES, INC. | Sep 16, 2011 | Sep 6, 2011 | -10 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 29604:110518:CA:2017-10-20 | Oct 24, 2017 | Oct 16, 2017 | ORANGE, CA | Firm change |
| 137888:29604:CA:2015-10-23 | Oct 23, 2015 | Oct 23, 2015 | ORANGE, CA | Firm change |