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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2024-06-12
TX RA APPROVED 2024-06-07
  • LA RA
    APPROVED
    Since 2024-06-12
  • TX RA
    APPROVED
    Since 2024-06-07

Branch Locations

2601 N. 7Th Street Suite 200, West Monroe, LA 71291 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

2601 N. 7Th Street Suite 200, West Monroe, LA 71291 • 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
Metlife Securities, Inc. Monroe LA 01/2003 03/2017
Massmutual Life Insurance Co West Monroe LA 07/2016 10/2022
Mml Investors Services, Llc West Monroe LA 03/2017 10/2022
Lincoln Financial Securities West Monroe LA 10/2022 06/2024
Lpl Financial West Monroe LA 06/2024 Present
  • 01/2003 → 03/2017
    Metlife Securities, Inc.
    Monroe, LA
  • 07/2016 → 10/2022
    Massmutual Life Insurance Co
    West Monroe, LA
  • 03/2017 → 10/2022
    West Monroe, LA
  • 10/2022 → 06/2024
    Lincoln Financial Securities
    West Monroe, LA
  • 06/2024 → Present
    Lpl Financial
    West Monroe, LA
Previous Registrations
  • 2022-10-05 → 2024-06-07
    Osaic Fs, Inc.
    West Monroe, LA
    Greensboro, NC
    West Monroe, LA
  • 2017-03-25 → 2022-10-14
    West Monroe, LA
  • 2004-07-01 → 2017-03-25
    Msi Financial Services, Inc.
    Monroe, LA
    Monroe, LA
    Lafayette, LA
    Monroe, LA
    West Monroe, LA
    Monroe, LA
Other Businesses

1) 04/24/2024 - RD Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel- At Reported Business Location (s) - Start Date 09/29/2023- 160 hr per mnth- 8 hrs during trading 2) 04/24/2024 - THERON DUPREE - Non-Variable Insurance- Monroe, LA 71201 - Inv Rel- Start Date 2/02/2010- 5 hrs per mth- 1 hr during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-07-01
S63 Uniform Securities Agent State Law Examination 1997-10-09
  • S65 Uniform Investment Adviser Law Examination
    2016-07-01
  • S63 Uniform Securities Agent State Law Examination
    1997-10-09
Other Names
  • Rawls Dupree

View on SEC IAPD

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