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4295 San Felipe Suite 300, Houston, TX 77027 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-09-24 |
Branch Locations
17725 John F Kennedy Blvd Second Floor, Houston, TX 77032 • United States
4295 San Felipe Suite 300, Houston, TX 77027 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Adp Broker-Dealer Inc. | Houston | TX | 01/2016 | 09/2019 |
| Adp Llc | Houston | TX | 01/2016 | 09/2019 |
| Lpl Financial Llc | Kingwood | TX | 09/2019 | Present |
| Symphony Financial, Ltd. Co. | Houston | TX | 09/2019 | Present |
1. 09/11/2019 - Symphony Financial, Ltd. Co. - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - start date:07/11/2019 - 53 hrs/mo - 53 hrs during trading - IAR - I provide investment advisory services through Symphony Financial, Ltd. Co., an independent investment advisor firm. I started this business activity in 7/2019. I expect to spend approximately 53 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 12/8/2022 - Symphony Financial LTD, CO - Investment Related - At Reported Business Location(s) - Other - Hybrid RIA Transition Assistance - hybrid advisor - Start Date - 11/15/2022 - 0 Hours Per Month/0 Hours During Securities Trading 3. 4/11/2023 - Dogwood Capital Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/28/2023 - 160 Hours Per Month/160 Hours During Securities Trading 4. 06/27/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 05/30/2023 - 1 Hour Per Month/ During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-09-24 |
| S66 | Uniform Combined State Law Examination | 2012-05-03 |
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