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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-05-31
CO RA APPROVED 2001-08-17
  • TX RA
    APPROVED_RES
    Since 2013-05-31
  • CO RA
    APPROVED
    Since 2001-08-17

Branch Locations

Credit Union Of Colorado 3907 E. 120Th Ave, Thornton, CO 80233-1681 • United States

Credit Union Of Colorado 8770 Wadsworth Blvd. Unit R, Arvada, CO 80003-0923 • United States

Arvada, CO • United States

1275 Tremont Pl, Denver, CO 80204 • 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
Lpl Financial Llc Denver CO 08/2001 Present
Other Businesses

(1) 06/26/2008: Credit Union of Colorado - Financial Institution Duty - Investment Related - At Reported Business Location(s) - 100% Time Spent (2) 06/26/2008: Investment Center Located at: Credit Union of Colorado - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-27
  • S66 Uniform Combined State Law Examination
    2000-12-27

View on SEC IAPD

Other Firms

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Other Offices

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