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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 2013-01-05
CO RA APPROVED 2012-11-09
  • TX RA
    APPROVED_RES
    Since 2013-01-05
  • CO RA
    APPROVED
    Since 2012-11-09

Branch Locations

14143 Denver West Pkwy Ste 450, Golden, CO 80401 • United States

Denver, CO • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Lpl Financial Golden CO 10/2012 Present
  • 10/2012 → Present
    Lpl Financial
    Golden, CO
Previous Registrations
Other Businesses

1. 12/11/2012: DBA ONLY / COLORADO FINANCIAL PARTNERS, LLC/ GOLDEN, CA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-30
S63 Uniform Securities Agent State Law Examination 2003-01-31
  • S66 Uniform Combined State Law Examination
    2007-01-30
  • S63 Uniform Securities Agent State Law Examination
    2003-01-31

View on SEC IAPD

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