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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-07-15 |
| TX | RA | APPROVED | 2023-05-30 |
Branch Locations
5049 Edwards Ranch Clearfork, 4Th Floor, Fort Worth, TX 76109 • United States
300 Morrison Park Dr, Ste 110, Southlake, TX 76092 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Innovex | Jersey City | NJ | 02/2007 | 12/2016 |
| Garrett Investment Advisors, Llc | Keller | TX | 06/2015 | 01/2017 |
| Unemployed | Keller | TX | 01/2017 | 05/2017 |
| Waddell & Reed Inc | Southlake | TX | 05/2017 | 11/2017 |
| Various Insurance Carriers For W & R Insurance Agencies | Keller | TX | 05/2017 | 11/2017 |
| Jimmy Lee | Southlake | TX | 05/2017 | 12/2017 |
| Garrett Investment Advisors Llc | Keller | TX | 06/2015 | 01/2017 |
| First Allied Securities, Inc. | San Diego | CA | 01/2018 | 09/2022 |
| First Allied Advisory Services, Inc | San Diego | CA | 01/2018 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 05/2023 |
| Sageview Advisory Group, Llc | Newport Beach | CA | 09/2021 | 05/2023 |
| Cetera Advisors Llc | Fort Worth | TX | 09/2022 | 05/2023 |
| Lpl Financial Llc | Southlake | TX | 05/2023 | Present |
1) 04/26/2023 - Insurance - Non-Variable Insurance - Selling: Fixed Annuities. Term Insurance - Texas 75028 - Investment related - 0 Hours per month - Start date: 05/30/2023. 2) 04/26/2023 - Tower View Wealth Management, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 0 Hours per month. 3) 03/09/2024 - Blended Kingdom Families Ministries - Non-Inv Related - Colleyville, TX - Other - Family Coaching - Started: 2/25/2024 - 10 Hrs/Mo; 1 Hr During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-17 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-13 |
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