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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-03-04 |
| TX | RA | APPROVED | 2015-10-30 |
Branch Locations
815 Walker Street. Ste 1350, Houston, TX 77002 • United States
1717 West Loop South, 11Th Fl, Houston, TX 77027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Houston | TX | 10/2015 | Present |
| Zions Bank (Zb, N.A.) | Houston | TX | 10/2015 | Present |
(1) 07/27/2016 * Amegy Wealth Advisors * DBA for LPL Business (entity for LPL business) * INV REL * 4400 POST OAK PKWY, 5TH FLHOUSTONTX77027 * START 07/24/2016 * 120 HRS/MO DURING SECS TRDG HRS. (2) 1/9/2017: Zions Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Relationship Manager - Started 12/28/2016 - 5 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 2000-08-07 |
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