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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-11-29
  • TX RA
    APPROVED
    Since 2017-11-29

Branch Locations

228 Washington St Ste 108, Kerrville, TX 78028 • United States

Kerrville, TX • 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
Investment Centers Of America, Inc. Kerrville TX 04/2005 11/2017
Lpl Financial Llc Kerrville TX 11/2017 Present
  • 04/2005 → 11/2017
    Investment Centers Of America, Inc.
    Kerrville, TX
  • 11/2017 → Present
    Kerrville, TX
Previous Registrations
  • 2005-05-04 → 2017-11-29
    Investment Centers Of America, Inc.
    Blanco, TX
    Boerne, TX
    Bulverde, TX
    Canyon Lake, TX
    Comfort, TX
    Harper, TX
    Ingram, TX
    Kingsland, TX
    Kerrville, TX
    Kerrville, TX
    Spicewood, TX
    Lago Vista, TX
    Marble Falls, TX
    Dripping Springs, TX
    Kerrville, TX
    Appleton, WI
Other Businesses

1. 6/3/2020 - Garrett and Rich Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/27/2020 - 173 Hours Per Month/130 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-02
S63 Uniform Securities Agent State Law Examination 2000-12-07
  • S66 Uniform Combined State Law Examination
    2005-05-02
  • S63 Uniform Securities Agent State Law Examination
    2000-12-07

View on SEC IAPD

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