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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-05-28
CO RA APPROVED 2024-05-24
ID RA APPROVED 2024-05-24
  • TX RA
    APPROVED_RES
    Since 2024-05-28
  • CO RA
    APPROVED
    Since 2024-05-24
  • ID RA
    APPROVED
    Since 2024-05-24

Branch Locations

Victor, ID • United States

5251 Dtc Pkwy Ste 1045, Greenwood Village, CO 80111 • 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
Alliancebernstein Investments, Inc. Seattle WA 09/2013 07/2017
Legg Mason & Co Aurora CO 07/2017 07/2020
Legg Mason Investor Services, Llc Lake Wylie SC 07/2017 07/2020
Alpha Capital Management Group Greenwood Village CO 04/2021 05/2024
Unemployed Denver CO 07/2020 04/2021
Lpl Financial Llc Greenwood Village CO 05/2024 Present
  • 09/2013 → 07/2017
    Alliancebernstein Investments, Inc.
    Seattle, WA
  • 07/2017 → 07/2020
    Legg Mason & Co
    Aurora, CO
  • 07/2017 → 07/2020
    Legg Mason Investor Services, Llc
    Lake Wylie, SC
  • 04/2021 → 05/2024
    Alpha Capital Management Group
    Greenwood Village, CO
  • 07/2020 → 04/2021
    Unemployed
    Denver, CO
  • 05/2024 → Present
    Greenwood Village, CO
Previous Registrations
Other Businesses

1) 05/22/2024-Robin Sanchez-Real Estate Rental-Co-Owner-Inv Related-At Englewood, CO-Start date 09/01/2023-0hrs/mth 2) 05/22/2024-Western Retirement Consultants-DBA for LPL Business (entity for LPL business)-Inv Related-At reported business location(s)-Start date 05/28/2024-160hrs/mth 3) 05/22/2024-Vino Tinto Sommeliers LLC-Wine taster/Owner -Not Inv Related-At Denver, CO-Start date 02/14/2023-1hrs/mth 4) 05/22/2024-Western Wealth Advisors-DBA for LPL Business (entity for LPL business)-Inv Related-At reported business location(s)-Start date 05/28/2024-160hrs/mth 5) 06/12/2024 - R & R Financial Services Inc LLC - Non-Inv Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started: 4/4/2021 - 160 Hrs/Mo During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-04-12
S63 Uniform Securities Agent State Law Examination 2008-08-29
  • S66 Uniform Combined State Law Examination
    2021-04-12
  • S63 Uniform Securities Agent State Law Examination
    2008-08-29

View on SEC IAPD

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