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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-01-14
  • TX RA
    APPROVED
    Since 2020-01-14

Branch Locations

Tucson, AZ • United States

2476 East River Road, Tucson, AZ 85718 • 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 Tucson AZ 01/2003 Present
Other Businesses

(1) 07/21/2008: Service Club - COMMUNITY, CIVIC AND CHARITABLE BOARD - NOT INV REL - ROTARY CLUB OF TUCSON - 5% OF TIME SPENT (2) 04/29/2014: NO BUSINESS NAME - REAL ESTATE RENTAL - INV REL - One rental unit. Single Family Residence. No renters are customers or advisors of another B/D or RIA. - 5% OF TIME SPENT (3) 07/29/2014: AFFINITY WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Affinity Wealth Management - INV REL - START 08/01/2014 - 2960 N Swan Road Suite 215 Tucson AZ 85712 - This name will only be used for our LPL Financial securities business. Only LPL Financial registered associates have interest in this name. This name is not a registered insurance agency. This name is not an RIA. - 160 HR/MO 7 DURING SECS TRDG HRS (4) 11/10/2015: Cenote Furnishings & Antiques - Business Entity For Tax/Investment Purposes Only - INV REL - START 02/23/2006 - This entity exists in name only. It is non-operational. - Sole Member of Non-Operating /functioning LLC. There are no members. Articles of incorporation filed in February of 2006 but there has been no activity. Retaining LLC name only. The "business" does not share space with my securities business. - 0 HR/MO - Cenote Furnishings & Antiques - Business Entity For Tax/Investment Purposes Only (5) 10/14/2021 - HiPeaks, LLC - Investment Related - 2476 E River Road, Tucson 85718- Real Estate Rental - Co-owner - Start Date: 10/23/2020 - 2 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-26
S63 Uniform Securities Agent State Law Examination 1997-06-19
  • S65 Uniform Investment Adviser Law Examination
    1997-06-26
  • S63 Uniform Securities Agent State Law Examination
    1997-06-19

View on SEC IAPD

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