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4295 San Felipe Suite 300, Houston, TX 77027 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2014-07-23 |
Branch Locations
4295 San Felipe Suite 300, Houston, TX 77027 • United States
17725 John F. Kennedy Blvd Second Floor, Houston, TX 77032 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Houston | TX | 09/2004 | Present |
| Symphony Financial, Ltd. Co. | Houston | TX | 07/2014 | Present |
(1) 10/04/2004: AVIATION RETIREMENT STRATEGIES, LLC - DBA for LPL Business (entity for LPL business) - Not Investment Related - At Reported Business Location(s) (2) 7/12/2017: Symphony Financial Ltd. Co. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 07/15/2014 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Symphony Financial Ltd. Co., an independent investment advisor firm. I started this business activity in 07/2014. I expect to spend approximately 160 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 firm is separate from and independent of LPL Financial. (3) 7/12/2017: Symphony Financial Ltd. Co. - DBA: (Hybrid) Aviation Retirement Strategies, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 07/15/2014 - 160 Hours Per Month During Securities Trading. (4) 1/16/2019 - ARS Private Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/12/2018 - 36 Hours Per Month/3 Hours During Securities Trading. (5) 9/14/2020 - ARS Leasing - Investment Related - Conroe, TX 77302 - Real Estate Rental - Started 08/01/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Personal aircraft hangar space being rented out to a private individual private aircraft. (6) 3/3/2023 - No Business Name - Not Investment Related - At Reported Business Location(s) - Business Owner - Start Date - 10/04/2004 - 2 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-03-22 |
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