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Richard Eloy De La Garza

LPl Financial LLC

Austin, TX

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-05-05
  • TX RA
    APPROVED
    Since 2017-05-05

Branch Locations

Austin, TX • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. Austin TX 03/2010 04/2017
Lpl Financial, Llc Austin TX 05/2017 Present
Previous Registrations
Other Businesses

1- 12/06/2024 - YaYa Ranch LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Home Based - Start Date 05/16/2024 - 0 hours per month/ during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-06-25
S63 Uniform Securities Agent State Law Examination 2001-07-10
  • S65 Uniform Investment Adviser Law Examination
    2007-06-25
  • S63 Uniform Securities Agent State Law Examination
    2001-07-10
Other Names
  • Richard Eloy De La Garza
  • Eloy De La Garza
  • Eloy Eloy De La Garza

View on SEC IAPD

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