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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-06-16
UT RA APPROVED 2015-10-13
  • TX RA
    APPROVED
    Since 2021-06-16
  • UT RA
    APPROVED
    Since 2015-10-13

Branch Locations

2302 Washington Blvd, Ogden, UT 84401 • United States

440 West Parrish Lane, Centerville, UT 84014 • United States

5635 S. Harrison Blvd., South Ogden, UT 84403 • United States

1781 W Antelope Drive, Layton, UT 84041 • United States

33 S Main, Kaysville, UT 84037 • United States

150 South Fort Lane, Layton, UT 84041 • United States

One South Main Street, Salt Lake City, UT 84133 • 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 Ogden UT 10/2015 Present
Previous Registrations
  • 2013-08-21 → 2015-10-09
    Morgan, UT
    Midvale, UT
  • 2011-10-13 → 2013-08-20
    Cuna Brokerage Services, Inc.
    Layton, UT
  • 2009-10-12 → 2011-10-05
    Layton, UT
    Nampa, ID
    Layton, UT
    Layton, UT
    Layton, UT
  • 2007-10-03 → 2009-10-07
    Insphere Securities, Inc.
    Las Vegas, NV
    Boise, ID
    Layton, UT
    Salt Lake City, UT
  • 2005-11-21 → 2007-10-03
    Allegis Advisors, Inc.
    Layton, UT
    Salt Lake City, UT
Other Businesses

1. 10/09/2015 - Zions Wealth Advisors - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s) 2. 10/26/2015 - Zions Wealth Advisors - DBA for LPL Business (entity for LPL business) - INV REL - 5 North Main Street, Bountiful, UT 84010 - START 10/23/2015 - 40 HOURS PER MONTH, 40 DURING TRADING 3. 10/26/2015 - Zions Trust - Financial Institution Duty - INV REL - 5 North Main Street, Bountiful, UT 84010 - START 10/23/2015 - 5 HOURS PER MONTH, 5 DURING TRADING - Compliance Manual, the advisor will act as a relationship manager/business development officer for when customers need is trust services through Zions Trust 4. 08/02/2016 - No Business Name - non-variable insurance commission trails only - INV REL - At Reported Business Location(s) - Start 06/01/2002 - 1 Hr/Mo; 1 Hour During Securities Trading - I receive renewals on life insurance policies that I have written over the past 10 years from Beneficial Life Insurance Company 5. 4/19/2021 - Nelson Lawn Care, Father, Sons and Sometimes Daughters - Not Investment Related - Home Based - Other-Reps business - Owner - Started 04/17/2021 - 10 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-10-07
S63 Uniform Securities Agent State Law Examination 2004-04-12
  • S65 Uniform Investment Adviser Law Examination
    2005-10-07
  • S63 Uniform Securities Agent State Law Examination
    2004-04-12
Designations

View on SEC IAPD

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