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4295 San Felipe Suite 300, Houston, TX 77027 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2014-07-15 |
Branch Locations
6006 North Mesa Street Suite 308, El Paso, TX 79912 • United States
4295 San Felipe Suite 300, Houston, TX 77027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | El Paso | TX | 04/2004 | Present |
| Symphony Financial, Ltd. Co. | El Paso | TX | 07/2014 | Present |
1. 12/11/2008 - SYMPHONY FINANCIAL LTD. CO - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 4/11/2012 - High Noon Chapter of Business Networking International - Not Investment Related - Non-Profit Board Member - Time Spent: 1% - Vice President. 3. 6/30/2014 - Empower Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:07/15/2014 - 4 Hours Per Month/0 Hours During Trading. 4. 11/13/2018 - Symphony Financial, Ltd. Co. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 07/15/2014 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Symphony Financial, Ltd. Co., an independent investment advisor firm. I started this business activity in 07/2014. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-04-10 |
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