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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 2024-09-16
MO RA APPROVED 2023-07-19
  • TX RA
    APPROVED_RES
    Since 2024-09-16
  • MO RA
    APPROVED
    Since 2023-07-19

Branch Locations

14500 S. Outer 40, Ste 200, Town And Country, MO 63017 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
First Allied Securities, Inc. San Diego CA 12/2013 09/2022
First Allied Advisory Services, Inc. Chesterfield MO 12/2013 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 06/2023
Cetera Advisors Llc Town And Country MO 09/2022 06/2023
Lpl Financial Llc Town And Country MO 06/2023 Present
  • 12/2013 → 09/2022
    First Allied Securities, Inc.
    San Diego, CA
  • 12/2013 → 11/2020
    First Allied Advisory Services, Inc.
    Chesterfield, MO
  • 11/2020 → 06/2023
    First Allied Advisory Services
    Schaumburg, IL
  • 09/2022 → 06/2023
    Cetera Advisors Llc
    Town And Country, MO
  • 06/2023 → Present
    Town And Country, MO
Previous Registrations
  • 2020-11-12 → 2023-06-22
    Town And Country, MO
  • 2013-12-19 → 2020-11-12
    First Allied Advisory Services, Inc.
    Town And Country, MO
    San Diego, CA
  • 2013-06-10 → 2014-01-24
    Barber Financial Group
    Lenexa, KS
  • 2007-10-30 → 2013-12-17
    National Planning Corporation
    St. Albans Rd, MO
    Florissant, MO
    Lenexa, KS
    Saint Albans, MO
  • 2006-05-01 → 2007-10-30
    American General Securities Incorporated
    St Albans, MO
    St. Albans, MO
Other Businesses

1) 06/14/2023 - LEGACY WEALTH ADVISORS. INC. - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 07/2008 - 160 Hr/Mth 2) 06/14/2023 - LEGACY TAX ADVISORS, LLC -Tax Prep/Accounting/CPA - Owner - Inv Rel - At Reported Business Location(s) - Start: 01/2023 -15 Hr/Mth 3) 06/14/2023 - LEGACY WEALTH ADVISORS, INC. - Non-Variable Insurance - Life, Long Term Care, Fixed Annuities - Inv Rel - At Reported Business Location(s) - Start: 01/2008 - 5 Hr/Mth 4) 08/28/2023 - B4 POSH Farms, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Sullivan, MO - StarT Date 08/24/2023 - 1 Hour Per Month/ 0 Hours During Trading 5) 07/05/2024 - SHM COMICS, LLC - Business Owner - Not Investment Related - Home Based - Start Date 07/03/2024 - 10 Hours Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-21
S63 Uniform Securities Agent State Law Examination 2002-07-06
  • S65 Uniform Investment Adviser Law Examination
    2006-04-21
  • S63 Uniform Securities Agent State Law Examination
    2002-07-06

View on SEC IAPD

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