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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 2021-12-16
LA RA APPROVED 2021-12-15
  • TX RA
    APPROVED_RES
    Since 2021-12-16
  • LA RA
    APPROVED
    Since 2021-12-15

Branch Locations

175 Rushing Road West, Denham Springs, LA 70726 • 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
Cuna Brokerage Services, Inc. Waverly IA 03/2007 12/2021
Neighbors Federal Credit Uion Denham Springs LA 01/2012 Present
Lpl Financial Llc Denham Springs LA 12/2021 Present
  • 03/2007 → 12/2021
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 01/2012 → Present
    Neighbors Federal Credit Uion
    Denham Springs, LA
  • 12/2021 → Present
    Denham Springs, LA
Previous Registrations
  • 2007-10-25 → 2021-12-16
    Cuna Brokerage Services, Inc.
    Baton Rouge, LA
    Baton Rouge, LA
    Denham Springs, LA
    Waverly, IA
    Zachary, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Denham Springs, LA
Other Businesses

1)12/2021- Neighbors Wealth Management- DBA for LPL Business (entity for LPL business)- inv. related- DENHAM SPRINGS, LA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-24
  • S66 Uniform Combined State Law Examination
    2007-10-24

View on SEC IAPD

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