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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2022-11-03
TX RA APPROVED_RES 2022-11-03
  • NM RA
    APPROVED
    Since 2022-11-03
  • TX RA
    APPROVED_RES
    Since 2022-11-03

Branch Locations

9400 Holly Ave Ne, Bldg #4, Albuquerque, NM 87122 • 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
Dba Legacy Financial Group Albuquerque NM 11/2002 11/2022
Insight Financial Services, Inc Albuquerque NM 08/2002 11/2022
Voya Financial Advisors Albuquerque NM 09/2014 10/2022
Lpl Financial Llc Albuquerque NM 11/2022 Present
  • 11/2002 → 11/2022
    Dba Legacy Financial Group
    Albuquerque, NM
  • 08/2002 → 11/2022
    Insight Financial Services, Inc
    Albuquerque, NM
  • 09/2014 → 10/2022
    Voya Financial Advisors
    Albuquerque, NM
  • 11/2022 → Present
    Albuquerque, NM
Previous Registrations
  • 2011-01-03 → 2022-11-03
    Dallas, TX
    Albuquerque, NM
    Phoenix, AZ
    Scottsdale, AZ
    San Jose, CA
    Phoenix, AZ
    Redlands, CA
    Redlands, CA
  • 2004-06-30 → 2011-01-03
    Voya Financial Partners, Llc
    Albuquerque, NM
    Albuquerque, NM
    Addison, TX
    Phoenix, AZ
  • 2000-03-13 → 2004-06-30
    Albuquerque, NM
Other Businesses

1) 11/01/2022 - Legacy Financial Group, LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported branch location(S) - 13 hours per month - Start date: 01/01/2000. 2) 11/01/2022 - Real Estate Rental - Co-owner - Investment related - 11901 Holly Ave Ave NE, Albuquerque, NM 87122 - 2 hours per month - Start date: 01/01/2008. 3) 11/01/2022 - Quattro Executive Center, LLC - Real Estate Rental - Owner and Property Manager - Investment related - 9400 Holly Ave. NE Bldg. 4, Albuquerque, NM 87122 - 1 hours per month - Start date: 01/01/2005. 4) 11/01/2022 - INSIGHT FINANCIAL SERVICES, INC - Non-Variable Insurance - owner - Investment related - Albuquerque, NM 87122 - 32 hours per month - Start date: 01/01/2000. 5) 11/01/2022 - Real Estate Rental - Co-owner - Investment related - 11901 Holly Ave. NE, Albuquerque, NM 87122 (home) - 2 hours per month - Start date: 01/01/2005. 6) 11/01/2022 - Real Estate Rental - Co-owner - Investment related - 11901 Holly Ave. NE, Albuquerque, NM 87122 - 2 hours per month - Start date: 01/01/2008.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-20
S63 Uniform Securities Agent State Law Examination 1998-08-19
  • S65 Uniform Investment Adviser Law Examination
    1999-12-20
  • S63 Uniform Securities Agent State Law Examination
    1998-08-19
Other Names
  • Cris Giron
  • Cris S Giron
  • Cris Serrato Giron

View on SEC IAPD

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