Best Investors Account Sign in
Current Employers
Symphony Financial, Ltd. Co.

4295 San Felipe Suite 300, Houston, TX 77027 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-09-24
  • TX RA
    APPROVED
    Since 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

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
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
  • 01/2016 → 09/2019
    Adp Broker-Dealer Inc.
    Houston, TX
  • 01/2016 → 09/2019
    Adp Llc
    Houston, TX
  • 09/2019 → Present
    Lpl Financial Llc
    Kingwood, TX
  • 09/2019 → Present
    Houston, TX
Previous Registrations
  • 2012-05-04 → 2014-12-15
    Lawing Financial Inc
    Springfield, MO
    Overland Park, KS
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-09-24
S66 Uniform Combined State Law Examination 2012-05-03
  • S65 Uniform Investment Adviser Law Examination
    2019-09-24
  • S66 Uniform Combined State Law Examination
    2012-05-03

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Houston, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor