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Josh Vandiver

LPl Financial LLC

Euless, TX

CRD 4720921

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-01-07
  • TX RA
    APPROVED
    Since 2022-01-07

Branch Locations

Euless, TX • 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
OrganizationCityStateFromTo
Compass Bank Birmingham AL 08/2009 12/2021
Bbva Securities Inc. Dallas TX 05/2013 12/2021
Bbva Compass Insurance Agency, Inc. Austin TX 08/2009 12/2021
Bbva Wealth Solutions Inc. Dallas TX 04/2016 12/2021
Lpl Financial Llc Euless TX 01/2022 Present
  • 08/2009 → 12/2021
    Compass Bank
    Birmingham, AL
  • 05/2013 → 12/2021
    Bbva Securities Inc.
    Dallas, TX
  • 08/2009 → 12/2021
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 04/2016 → 12/2021
    Bbva Wealth Solutions Inc.
    Dallas, TX
  • 01/2022 → Present
    Lpl Financial Llc
    Euless, TX
Previous Registrations
  • 2016-04-20 → 2021-11-12
    Pnc Managed Account Solutions, Inc.
    Dallas, TX
    Richardson, TX
  • 2005-12-08 → 2007-12-14
    Td Ameritrade Investment Management, Llc
    Fort Worth, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-04-20
S66 Uniform Combined State Law Examination 2005-12-06
S63 Uniform Securities Agent State Law Examination 2005-03-11
  • S65 Uniform Investment Adviser Law Examination
    2016-04-20
  • S66 Uniform Combined State Law Examination
    2005-12-06
  • S63 Uniform Securities Agent State Law Examination
    2005-03-11
Other Names
  • Joshua Randal Vandiver
  • Josh R. Vandiver

View on SEC IAPD

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