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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2015-09-29
  • TX RA
    APPROVED
    Since 2015-09-29

Branch Locations

15260 Highway 105 W #230E, Montgomery, TX 77356-5273 • 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Willis TX 09/2015 Present
Previous Registrations
Other Businesses

1. 10/19/2015 - Shepard Hill Financial - INV REL - 12990 Shepard Hill Rd. Willis, TX 77318 - DBA for LPL Business (entity for LPL business) - START 10/01/15 - 160 HOURS PER MONTH, 160 DURING TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-13
  • S66 Uniform Combined State Law Examination
    2007-03-13
Other Names
  • Brad Dean
  • Scott Dean

View on SEC IAPD

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