Joel S Vergel De Dios

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-02-12

TX RA
APPROVED_RES

Since 2014-02-12

Branch Locations

1503 S. Yale Street, Suite 100, Flagstaff, AZ 86001 • 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Lpl Financial	Flagstaff	AZ	10/2009	Present

10/2009 → Present

Lpl Financial

Flagstaff, AZ

Other Businesses

1. 10/02/09 - ASPEN FINANCIAL STRATEGIES, LLC - DBA AZ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-09-17

S66 Uniform Combined State Law Examination

2004-09-17

Other Names

Jleopoldo Santos Vergel De Dios

View on SEC IAPD