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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2026-03-10
TX RA APPROVED 2026-03-09
  • UT RA
    APPROVED
    Since 2026-03-10
  • TX RA
    APPROVED
    Since 2026-03-09

Branch Locations

6995 S Union Park Ctr Ste 300, Cottonwood Heights, UT 84047 • 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
Mass Mutual Life Insurance Company Salt Lake City UT 08/2012 11/2018
Mml Investors Services Salt Lake City UT 08/2012 11/2018
Hornor Townsend & Kent Inc Horsham PA 11/2018 03/2026
Penn Mutual Life Insurance Company Horsham PA 11/2018 03/2026
Lpl Financial Cottonwood Heights UT 03/2026 Present
  • 08/2012 → 11/2018
    Mass Mutual Life Insurance Company
    Salt Lake City, UT
  • 08/2012 → 11/2018
    Mml Investors Services
    Salt Lake City, UT
  • 11/2018 → 03/2026
    Hornor Townsend & Kent Inc
    Horsham, PA
  • 11/2018 → 03/2026
    Penn Mutual Life Insurance Company
    Horsham, PA
  • 03/2026 → Present
    Lpl Financial
    Cottonwood Heights, UT
Previous Registrations
Other Businesses

1. 2/2026 - Online Retail Sales - Business Owner - Not Investment Related - 5 Hour(s)/Month - 0 Hour(s) During Trading - Draper UT 84020 - OBA Start date: 10/01/2013 2. 2/2026 - Intermountain Financial Partners - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported business location(s) - OBA Start date: 3/9/2026 3. 2/2026 - Non-Variable Ins - Non-Variable Insurance - Investment Related - 40 Hour(s)/Month - 40 Hour(s) During Trading - Draper UT 84020 - OBA Start date: 06/01/2012 4. 2/2026 - Real Estate Rental - Real Estate Rental - Investment Related - 10 Hour(s)/Month - 5 Hour(s) During Trading - Bountiful UT 84010 - OBA Start date: 06/20/2013

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-03-07
S63 Uniform Securities Agent State Law Examination 2007-11-02
  • S65 Uniform Investment Adviser Law Examination
    2013-03-07
  • S63 Uniform Securities Agent State Law Examination
    2007-11-02

View on SEC IAPD

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