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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 2020-04-20
TN RA APPROVED 2014-10-07
  • TX RA
    APPROVED_RES
    Since 2020-04-20
  • TN RA
    APPROVED
    Since 2014-10-07

Branch Locations

4949 Laws Rd, Whites Creek, TN 37189 • United States

132 Maple Row Blvd Suite 440, Hendersonville, TN 37075 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Hendersonville TN 05/2006 Present
Other Businesses

1. 7/22/2019 - Guided Wealth Partners, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/02/2019 - 160 Hours Per Month/40 Hours During Securities Trading. 2. 10/16/2019 - Amazing Life Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 11/01/2019 - 10 Hours Per Month During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-10-02
S63 Uniform Securities Agent State Law Examination 2001-03-01
  • S65 Uniform Investment Adviser Law Examination
    2014-10-02
  • S63 Uniform Securities Agent State Law Examination
    2001-03-01

View on SEC IAPD

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