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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-12-06 |
| TX | RA | APPROVED_RES | 2019-08-14 |
| OH | RA | APPROVED | 2008-10-01 |
Branch Locations
2277 W Guadalupe Rd, Gilbert, AZ 85233 • United States
840 E Southern Avenue Ste 101, Tempe, AZ 85282 • United States
3349 E Queen Creek Rd, Gilbert, AZ 85297 • United States
1812 W Monroe St, Phoenix, AZ 85007 • United States
2355 W. Pinnacle Peak Rd, Phoenix, AZ 85027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Mesa | AZ | 09/2008 | 03/2021 |
| New York Community Bank | Mesa | AZ | 12/2019 | 03/2021 |
| Oneaz Credit Union | Gilbert | AZ | 03/2021 | Present |
1. 9/26/2008: No Business Name - Not Investment Related - Family Business - Time Spent 5% - Part owner with wife of gymnastics/cheerleading facility. 2. 5/17/2010: Kincaid Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 10% - Selling Non-Variable products directly with insurance carriers. 3. 4/7/2021 â?" OneAZ Credit Union â?" DBA: OneAZ Wealth Management â?" Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 3/29/2021 - 160 Hours Per Month/6 Hours During Securities Trading. 4. 01/13/2022 - Turo - Not Investment Related - Home Based - Outside/W-2 Employment - Start Date: 10/01/2021 - 5 Hours Per Month/0 Hours During Securities Trading - Vehicle Rental.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-05 |
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