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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2014-11-14
  • TX RA
    APPROVED
    Since 2014-11-14

Branch Locations

200 S. 10Th St., Suite 1210, Mcallen, TX 78501 • 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
Lpl Financial, Llc Mcallen TX 11/2014 Present
Previous Registrations
  • 2012-10-01 → 2014-12-02
    Mcallen, TX
  • 2006-05-31 → 2012-10-01
    Chase Investment Services Corp.
    Mcallen, TX
    Mcallen, TX
Other Businesses

1. 11/02/2016: Sonterra Investments LLC - Real Estate Rental - Investment Related - Mission, TX - Start 10/31/2016 - 10 Hr/Mo; 0 Hour(s) During Securities Trading. 2. 7/25/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 07/17/2017 - 20 Hours Per Month/1 Hour During Securities Trading. 3. 07/11/2024 - Sonterra Private Wealth PLLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 06/12/2024 - 0 Hours Per Month/ During Trading 4. 04/22/2026 - ARBOS WEALTH - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/14/2026 - 480 hours per month/ 200 hours during trading 5. 04/22/2026 - ARBOS WEALTH - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start Date 04/14/2026 - 480 hours per month/ 200 hours during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-30
S63 Uniform Securities Agent State Law Examination 2003-11-17
  • S65 Uniform Investment Adviser Law Examination
    2006-05-30
  • S63 Uniform Securities Agent State Law Examination
    2003-11-17

View on SEC IAPD

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