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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-07-12
UT RA APPROVED 2019-06-27
  • TX RA
    APPROVED
    Since 2019-07-12
  • UT RA
    APPROVED
    Since 2019-06-27

Branch Locations

437 S. Bluff St,Ste 301, St George, UT 84770 • United States

St George, UT • 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
Mass Mutual South Jordan UT 02/2003 06/2019
Mml Investors Services, Inc. South Jordan UT 02/2003 06/2019
Lpl Financial, Llc South Jordan UT 06/2019 Present
  • 02/2003 → 06/2019
    Mass Mutual
    South Jordan, UT
  • 02/2003 → 06/2019
    Mml Investors Services, Inc.
    South Jordan, UT
  • 06/2019 → Present
    South Jordan, UT
Previous Registrations
  • 2003-02-21 → 2019-06-28
    St. George, UT
    St. George, UT
    Lehi, UT
    South Jordan, UT
  • 2001-05-21 → 2003-02-18
    Mony Securities Corporation
    Midvale, UT
Other Businesses

1. 01/01/2001 - PRIVATE WEALTH MANAGEMENT LLC/ NON-VARIABLE INSURANCE/ INVESTMENT RELATED/ 40%/ SOUTH JORDAN, UT 2. 06/27/2019 - VITALITY WEALTH/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ SOUTH JORDAN, UT 3. 09/01/2023 - Gro Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/01/2023 - 15 Hours per Month/ 12 Hours During Securities Trading 4. 09/12/2024 - The Insurance Box - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 01/03/2022 - 15 Hours Per Month/ 1 Hour during Trading 5. 10/02/2024 - Paradigm Life - Other - Non-Variable Insurance Trails Only - Investment Related - At Reported Business Location(s) - Start Date 05/15/2020 - 1 Hour Per Month/ 0 Hours During Trading 6. 11/26/2024 - Hallows Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/02/2024 - 25 Hours Per Month/ During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-03-24
  • S66 Uniform Combined State Law Examination
    2001-03-24
Designations

View on SEC IAPD

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