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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2020-12-07 |
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 |
|---|---|---|---|---|
| Oppenheimerfunds Distributor, Inc | Centennial | CO | 01/2008 | 08/2019 |
| The Madison Group | Greenwood Village | CO | 08/2019 | 08/2020 |
| M Holdings Securities, Inc. | Portland | OR | 08/2019 | 08/2020 |
| Lpl Financial, Llc | Greenwood Village | CO | 11/2020 | Present |
1. 11/04/2020 -Seven-13 LLC -Business Entity For Tax/Investment Purposes Only- Investment Related - LONE TREE, CO - Start Date:10/27/2020 - 0 Hrs/Mth - 0 Hrs During Trading. 2. 11/04/2020 - Western Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - Greenwood Plaza CO - Start Date:11/04/2020 - 0 Hrs/Mth - 0 Hrs During Trading. 3. 11/04/2020 - Western Retirement Consultants - DBA for LPL Business (entity for LPL business) - Investment Related - Greenwood Plaza CO - Start Date:11/04/2020 - 0 Hrs/Mth - 0 Hrs During Trading. 4. 08/09/2021 - Seven-13 LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/27/2020 - 40 Hours Per Month/30 Hours During Securities Trading. 5. 03/08/2022- Ash Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 11/12/2021 - 8 Hours Per Month During Securities Trading. 6. 12/17/2024- Other - Paid research- I have been asked to provide research, fact checking and proofreading/editing for Scidan Partners, a consulting group. The subject is the environmental and economic impact of wildfires.- Home based- Not INV Related- Start date 07/25/2024- 5 Hours Per Month During.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 2010-04-22 |
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