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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 2023-12-07
UT RA APPROVED 2023-11-27
  • TX RA
    APPROVED_RES
    Since 2023-12-07
  • UT RA
    APPROVED
    Since 2023-11-27

Branch Locations

11931 S 700 E, Draper, UT 84020 • United States

922 South State St, #203, Pleasant Grove, UT 84062 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Core Financial Inc Provo UT 09/2010 Present
Kms Financial Services, Inc. Seattle WA 01/2016 11/2020
Securities America, Inc. Pleasant Grove UT 11/2020 11/2023
Securities America Advisors, Inc. Pleasant Grove UT 11/2020 11/2023
Lpl Financial Llc Pleasant Grove UT 11/2023 Present
  • 09/2010 → Present
    Core Financial Inc
    Provo, UT
  • 01/2016 → 11/2020
    Kms Financial Services, Inc.
    Seattle, WA
  • 11/2020 → 11/2023
    Securities America, Inc.
    Pleasant Grove, UT
  • 11/2020 → 11/2023
    Securities America Advisors, Inc.
    Pleasant Grove, UT
  • 11/2023 → Present
    Pleasant Grove, UT
Previous Registrations
  • 2020-11-06 → 2023-11-20
    Securities America Advisors, Inc.
    Pleasant Grove, UT
  • 2016-01-05 → 2020-11-06
    Kms Financial Services, Inc.
    Pleasant Grove, UT
    Seattle, WA
    Seattle, WA
  • 2015-08-11 → 2015-12-31
    Provo, UT
    Lehi, UT
    Provo, UT
  • 2010-11-29 → 2015-07-02
    Signator Financial Services, Inc.
    North Logan, UT
    Provo, UT
  • 2007-09-14 → 2010-11-01
    Insphere Securities, Inc.
    Lehi, UT
    Provo, UT
    Salt Lake City, UT
  • 2005-07-06 → 2007-09-14
    Allegis Advisors, Inc.
    Salt Lake City, UT
  • 2003-12-11 → 2005-06-08
    Orem, UT
    Provo, UT
    Orem, UT
  • 2002-11-04 → 2003-08-29
    Mony Securities Corporation
    Midvale, UT
Other Businesses

1) 10/2023 - CORE Financial Inc / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent 2) 10/2023 - Allegis Advisors / Non-Variable Insurance / Inv. Related / Sandy UT / Start date 01/01/2022 - 15 Hrs per month - 10% Time Spent 3) 02/25/2026 - Kyle & Kami Bigler - Real Estate Rental - Investment Related - Lindon, UT - Start Date 02/12/2024 - 1 hour per month/ 0 hours during trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-29
S63 Uniform Securities Agent State Law Examination 2000-02-12
  • S66 Uniform Combined State Law Examination
    2002-08-29
  • S63 Uniform Securities Agent State Law Examination
    2000-02-12
Designations

View on SEC IAPD

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