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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-12-03
TX RA APPROVED 2022-12-09
  • FL RA
    APPROVED
    Since 2025-12-03
  • TX RA
    APPROVED
    Since 2022-12-09

Branch Locations

489 Highway 71, West Bastrop, TX 78602 • 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
Bbva Securities Inc. Lubbock TX 05/2014 06/2018
Bbva Wealth Solutions Inc. Lubbock TX 06/2014 06/2018
Bbva Compass Insurance Agency, Inc. Austin TX 09/2014 06/2018
Wells Fargo Clearing Services, Llc San Antonio TX 06/2018 10/2022
First National Bank Of Bastrop Bastrop TX 11/2022 Present
Lpl Financial Llc West Bastrop TX 12/2022 Present
  • 05/2014 → 06/2018
    Bbva Securities Inc.
    Lubbock, TX
  • 06/2014 → 06/2018
    Bbva Wealth Solutions Inc.
    Lubbock, TX
  • 09/2014 → 06/2018
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 06/2018 → 10/2022
    San Antonio, TX
  • 11/2022 → Present
    First National Bank Of Bastrop
    Bastrop, TX
  • 12/2022 → Present
    West Bastrop, TX
Previous Registrations
  • 2018-06-05 → 2022-10-18
    Austin, TX
    Lubbock, TX
    Plainview, TX
    Big Spring, TX
    Lubbock, TX
    Lubbock, TX
    Lubbock, TX
    Midland, TX
    Lubbock, TX
    Fort Worth, TX
    Lubbock, TX
    Lubbock, TX
    Midland, TX
  • 2014-06-18 → 2018-06-04
    Pnc Managed Account Solutions, Inc.
    Lubbock, TX
  • 2003-03-13 → 2003-11-25
    Citicorp Investment Services
    Las Vegas, NV
  • 2002-09-04 → 2003-02-27
    Morgan Stanley Dw Inc.
    Las Vegas, NV
Other Businesses

1) 12/2022 - First National Advisors / DBA for LPL Business (entity for LPL business) / Investment Related / West BastropTexas 2) 12/2022 - First National Bank - BastroPTX / Financial Institution Duty / Investment Related / 160 Hours Per Month / 100 Time Spent Percent / 40 Hours During Trading / Bastrop, TX 3) 03/15/2024 - Highland Capital Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Financial Advisor - Start Date - 08/31/2023 - 4 Hours Per Month/2 Hours During Securities Trading 4) 11/20/2024 - FNB Insurance Solutions, Inc. - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 12/15/2024 - 10 Hours Per Month/ During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-12
  • S66 Uniform Combined State Law Examination
    2014-06-12
Other Names
  • Mark Abbott
  • Joe M. Abbott

View on SEC IAPD

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