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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2024-11-18
TX RA APPROVED_RES 2024-11-18
  • CO RA
    APPROVED
    Since 2024-11-18
  • TX RA
    APPROVED_RES
    Since 2024-11-18

Branch Locations

Graham, TX • United States

7991 Shaffer Pkwy Ste 100, Littleton, CO 80127 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Next Financial Group, Inc. Golden CO 07/2005 07/2018
Woodbury Financial Services Inc Golden CO 07/2018 01/2024
Osaic Wealth, Inc. Golden CO 01/2024 11/2024
Lpl Financial Llc Golden CO 11/2024 Present
  • 07/2005 → 07/2018
    Next Financial Group, Inc.
    Golden, CO
  • 07/2018 → 01/2024
    Woodbury Financial Services Inc
    Golden, CO
  • 01/2024 → 11/2024
    Golden, CO
  • 11/2024 → Present
    Golden, CO
Previous Registrations
  • 2024-01-19 → 2024-11-21
    Golden, CO
  • 2018-07-10 → 2024-01-19
    Woodbury Financial Services, Inc.
    Golden, CO
    Golden, CO
    Mckinney, TX
  • 2005-07-29 → 2018-07-10
    Next Financial Group, Inc.
    Golden, CO
    Golden, CO
  • 2003-08-14 → 2005-10-05
    Cedrus
    Golden, CO
  • 2003-01-02 → 2003-06-19
    Capwest Securities, Inc.
    Aurora, CO
  • 2000-11-10 → 2002-11-18
    Blake Street Bcm Management Llc
    Denver, CO
  • 1999-01-01 → 2002-11-15
    Blake Street Advisors Llc
    Denver, CO
Other Businesses

1)11/18/2024 - LifeWealth Principles, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 3/01/2008 -160 Hrs/Mth - 8 Hrs During Trading. 2) 10/15/2025 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date:04/01/2025 - 01 Hrs/Mth - 0005 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-10-20
S63 Uniform Securities Agent State Law Examination 1989-06-27
  • S66 Uniform Combined State Law Examination
    2018-10-20
  • S63 Uniform Securities Agent State Law Examination
    1989-06-27
Other Names
  • Mitch Moore
  • Mitchell Bruce Moore

View on SEC IAPD

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