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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-01-16
UT RA APPROVED 2018-01-18
  • TX RA
    APPROVED_RES
    Since 2020-01-16
  • UT RA
    APPROVED
    Since 2018-01-18

Branch Locations

One South Main Street, Salt Lake City, UT 84133 • 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
Fidelity Investments Salt Lake City UT 05/1999 07/2017
Zions Bank Salt Lake City UT 10/2017 Present
Lpl Financial, Llc Salt Lake City UT 10/2017 Present
  • 05/1999 → 07/2017
    Fidelity Investments
    Salt Lake City, UT
  • 10/2017 → Present
    Zions Bank
    Salt Lake City, UT
  • 10/2017 → Present
    Salt Lake City, UT
Previous Registrations
Other Businesses

1. 01/18/2018 - Zions Wealth Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2. 01/17/2018 - ZB, N.A. - Financial Institution Duty - inv rel - at reported business location(s) - start: 10/2017 - 8 hr/mth 3. 01/10/2018 - Brigham Young University - teach online courses for th University - inv rel - Rexburg, ID - start: 12/2012 - 36 hr/mth 4. 3/5/2020 - Vectra Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/03/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 5. 3/6/2020 - Amegy Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/03/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 6. 3/6/2020 - NBAZ Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/03/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 7. 3/6/2020 - CB&T Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/03/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 8. 3/12/2020 - Wealth Select Team at Zions Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/10/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 9. 3/12/2020 - Wealth Select Team at Amegy Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/10/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 10. 3/12/2020 - Wealth Select Team at NBAZ Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/10/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 11. 3/12/2020 - Wealth Select Team at CB&T Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/10/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 12. 3/12/2020 - Wealth Select Team at Vectra Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/10/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 13. 4/17/2020 - NSB Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/16/2020 - 160 Hours Per Month During Securities Trading. 14. 7/30/2020 - Wealth Select Team at NSB Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 7/29/2020 - 160 Hours Per Month/160 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-12
S63 Uniform Securities Agent State Law Examination 2000-01-18
  • S66 Uniform Combined State Law Examination
    2006-01-12
  • S63 Uniform Securities Agent State Law Examination
    2000-01-18

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