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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-05-28 |
| CO | RA | APPROVED | 2024-05-24 |
| ID | RA | APPROVED | 2024-05-24 |
Branch Locations
5251 Dtc Pkwy Ste 1045, Greenwood Village, CO 80111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-04-12 |
| S63 | Uniform Securities Agent State Law Examination | 2008-08-29 |
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