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Current Employers
Intrua Financial

3737 Buffalo Speedway Suite 400, Houston, TX 77098 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2018-05-22
CA RA APPROVED 2015-10-28
TX RA APPROVED 2015-10-28
  • NC RA
    APPROVED
    Since 2018-05-22
  • CA RA
    APPROVED
    Since 2015-10-28
  • TX RA
    APPROVED
    Since 2015-10-28

Branch Locations

Houston, TX • United States

3737 Buffalo Speedway Suite 400, Houston, TX 77098 • 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
Lpl Financial Llc Houston TX 01/2011 Present
Intrua Financial Houston TX 10/2015 Present
  • 01/2011 → Present
    Lpl Financial Llc
    Houston, TX
  • 10/2015 → Present
    Houston, TX
Previous Registrations
Other Businesses

(1) 03/11/2015 - INTRUA FINANCIAL - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 04/02/2015 - NO TIME SPENT. (2) 10/8/2015: Intrua Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start 10/15/2015 - 120 Hours Per Month During Securities Trading - erve as an Investment Advisor Representative under the Intrua Financial RIA. Activities may include financial planning, rendering investment advice for a fee, retirement plan consulting, or other related financial consulting. (3) 11/15/2018 - No Business Name - Not Investment Related - Home Based - Other-TEXAS NOTARY - Started 10/24/2018 - 0 Hours Per Month. This outside business activity ended 05/2023. (4) 11/26/2018 - Hawkslan - Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 05/31/2013 - 1 Hour Per Month During Securities Trading. (5) 07/11/2022 - No Business Name - Investment Related - Houston Texas 77008 - Real Estate Rental - Start Date - 08/01/2020 - 4 Hours Per Month/0 Hours During Securities Trading. (6) 07/11/2022 - No Business Name - Investment Related - Houston Texas 77008 - Real Estate Rental - Start Date - 05/01/2018 - 4 Hours Per Month/0 Hours During Securities Trading. (7) 01/25/2024 - Hawkslan LP - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Home Based - Start Date 05/31/2013 - 0 Hours Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-01-25
S63 Uniform Securities Agent State Law Examination 1999-12-10
  • S65 Uniform Investment Adviser Law Examination
    2003-01-25
  • S63 Uniform Securities Agent State Law Examination
    1999-12-10

View on SEC IAPD

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