Best Investors Account Sign in

Jaime Arnoldo Cavazos

LPl Financial LLC

Edinburg, TX

Claim This Profile
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-01-24
  • TX RA
    APPROVED
    Since 2018-01-24

Branch Locations

4812 S Jackson Rd, Edinburg, TX 78539 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones Edinburg TX 01/2017 11/2017
Walgreens Mcallen TX 12/2007 12/2016
Independent Wealth Consultants Edinburg TX 01/2018 Present
Iwc Financial Planning Edinburg TX 04/2019 Present
Ima Live Llc Edinburg TX 04/2019 Present
  • 01/2017 → 11/2017
    Edinburg, TX
  • 12/2007 → 12/2016
    Walgreens
    Mcallen, TX
  • 01/2018 → Present
    Independent Wealth Consultants
    Edinburg, TX
  • 04/2019 → Present
    Edinburg, TX
  • 04/2019 → Present
    Ima Live Llc
    Edinburg, TX
Previous Registrations
  • 2019-06-14 → 2025-01-09
    Edinburg, TX
    San Antonio, TX
  • 2017-05-12 → 2017-11-07
    Edinburg, TX
    St Louis, MO
    Edinburg, TX
    Edinburg, TX
Other Businesses

1. 1/24/2018 - Independent Wealth Consultants - Investment Related - At Reported Business Location(s) - DBA for LPL Financial LLC Business (entity for LPL Financial business) - Start Date:01/29/2018 - 160 Hours Per Month/8 Hours During Trading - Time Spent: 100%. 2. 8/22/2018 - IMA LIVE LLC dba IWC Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:08/20/2018 - 25 Hours Per Month/0 Hours During Trading. Commissions received. 3. 11/05/2019 - IMA LIVE LLC dba IWC Financial Planning - Investment related - At reported business location(s) - Registered Investment Advisor - start date:4/1/2019 - 10 hrs/mo - 0 hrs during trading - IAR - I provide financial planning and consulting services through , an independent investment advisor firm.  I started this business activity in 4/2019. I expect to spend approximately 10 hours per month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-13
S63 Uniform Securities Agent State Law Examination 2003-10-20
  • S66 Uniform Combined State Law Examination
    2017-03-13
  • S63 Uniform Securities Agent State Law Examination
    2003-10-20
Other Names
  • Jaime Arnoldo Cavazos
  • Jaime A Cavazos

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Edinburg, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor