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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2017-11-29 |
| TX | RA | APPROVED | 2017-11-29 |
Branch Locations
1301 Oak Street, Jourdanton, TX 78026 • United States
New Braunfels, TX • United States
1336 East Court Street, Seguin, TX 78155 • United States
1656 State Hwy 46, New Braunfels, TX 78132 • United States
1525 S Seguin Ave, New Braunfels, TX 78130 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Centers Of America | New Braunfels | TX | 05/2013 | 11/2017 |
| Lpl Financial Llc | San Antonio | TX | 11/2017 | Present |
1. 11/29/2017 - GRIFFIN ASSET MANAGEMENT LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Director - Start Date 5/2009. 2. 1/5/2018 - 1st Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL busine - Start Date 01/01/2018 - 80 Hours Per Month/60 Hours During Securities Trading. 3. 10/28/2022 - No Business Name - Not Investment Related - At Reported Business Location(s) and Home Based - Business Owner - Start Date: 11/01/2022 - 4 Hours Per Month/2 Hours During Securities Trading - Seller on Amazon.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-09-20 |
| S63 | Uniform Securities Agent State Law Examination | 2001-01-20 |
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