Thomas Patrick Valdez

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2013-05-31
CO	RA	APPROVED	2008-07-09

TX RA
APPROVED_RES

Since 2013-05-31
CO RA
APPROVED

Since 2008-07-09

Branch Locations

Denver, CO • United States

5675 Olde Wadsworth Blvd, Arvada, CO 80002 • United States

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

Organization	City	State	From	To
Lpl Financial Llc	Golden	CO	07/2008	Present

07/2008 → Present

Lpl Financial Llc

Golden, CO

Previous Registrations

2006-10-04 → 2008-07-18

Strategic Advisers Llc

Denver, CO

Other Businesses

1. 3/12/2019 - Valdez Financial LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 01/01/2019 - 40 Hours Per Month/40 Hours During Securities Trading - LPL commission payments to S-Corp. 2. 03/01/2024 - WESTERN WEALTH ADVISORS - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/01/2024 - 72 Hours Per Month/ 72 Hours During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-09-07

S66 Uniform Combined State Law Examination

2006-09-07

Other Names

Thomas Patrick Valdez
Thomas Patrick Valdez
Thomas Patrick Valdez
Thomas Patrick Valdez

View on SEC IAPD