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Advisor at MISSIONSQUARE RETIREMENT
PASADENA, CA | WASHINGTON, DC
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 |
|---|---|---|---|---|---|---|
| MISSIONSQUARE RETIREMENT | Bd affiliated wealth | Aug 4, 2023 | n/a | yes | PASADENA, CA|WASHINGTON, DC | Current employment |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Dec 1, 2020 | Apr 21, 2022 | no | PASADENA, CA|NEW YORK, NY|Pasadena, CA|NEW YORK, NY|SAN FRANCISCO, CA | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | May 13, 2015 | May 16, 2016 | no | TORRANCE, CA|BREMERTON, WA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | May 21, 2010 | Jun 5, 2015 | no | LOS ANGELES, CA|LAKE HAVASU CITY, AZ|LOS ANGELES, CA|NORWALK, CA|PASADENA, CA|GLENDALE, CA|PASADENA, CA | Previous registration |
| CUSO FINANCIAL SERVICES, L.P. | Former SEC adviser | Dec 23, 2008 | May 21, 2010 | no | SAN DIEGO, CA|PASADENA, CA | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Feb 23, 2005 | Dec 26, 2008 | no | PASADENA, CA|PASADENA, CA | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Dec 15, 1997 | Feb 22, 2005 | no | GLENDALE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MISSIONSQUARE RETIREMENT | Apr 21, 2022 | Aug 4, 2023 | 470 | Firm change after gap | Other |
| AMERIPRISE FINANCIAL SERVICES, LLC | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | May 16, 2016 | Dec 1, 2020 | 1,660 | Firm change after gap | Ibd to wirehouse |
| LPL FINANCIAL LLC | AMERIPRISE FINANCIAL SERVICES, LLC | Jun 5, 2015 | May 13, 2015 | -23 | Firm change | Other |
| CUSO FINANCIAL SERVICES, L.P. | LPL FINANCIAL LLC | May 21, 2010 | May 21, 2010 | 0 | Firm change | Other |
| LPL FINANCIAL LLC | CUSO FINANCIAL SERVICES, L.P. | Dec 26, 2008 | Dec 23, 2008 | -3 | Firm change | Other |
| AMERIPRISE FINANCIAL SERVICES, LLC | LPL FINANCIAL LLC | Feb 22, 2005 | Feb 23, 2005 | 1 | Firm change | Other |