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Advisor at CWM, LLC
Sarasota, FL | OMAHA, NE
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 |
|---|---|---|---|---|---|---|
| CWM, LLC | Bd affiliated wealth | Jul 19, 2019 | n/a | yes | OMAHA, NE|Sarasota, FL | Current employment |
| SRQ WEALTH ADVISORY, LLC | n/a | Oct 28, 2016 | Oct 31, 2019 | no | SARASOTA, FL | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Aug 15, 2005 | Mar 15, 2017 | no | SARASOTA, FL|SARASOTA, FL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| SRQ WEALTH ADVISORY, LLC | CWM, LLC | Oct 31, 2019 | Jul 19, 2019 | -104 | Firm change after gap | Other |
| LPL FINANCIAL LLC | SRQ WEALTH ADVISORY, LLC | Mar 15, 2017 | Oct 28, 2016 | -138 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 285458:155344:FL:2019-10-31 | Oct 31, 2019 | Jul 19, 2019 | SARASOTA, FL | Firm change after gap |
| 6413:285458:FL:2017-03-15 | Mar 15, 2017 | Oct 28, 2016 | SARASOTA, FL | Firm change after gap |