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3737 Buffalo Speedway Suite 400, Houston, TX 77098 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-01-10 |
| OK | RA | APPROVED | 2024-01-10 |
| AL | RA | APPROVED | 2018-05-18 |
| MN | RA | APPROVED | 2018-05-18 |
| WA | RA | APPROVED | 2018-05-18 |
| TX | RA | APPROVED | 2015-10-30 |
Branch Locations
3737 Buffalo Speedway Suite 400, Houston, TX 77098 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Houston | TX | 06/2009 | Present |
| Intrua Financial | Houston | TX | 10/2015 | Present |
1. 12/3/2009: NON-VARIABLE INSURANCE - CFP, MAY DO INSURANCE OUTSIDE OF LPL. - TIME SPENT 5% - HOUSTON, TX. 2. 10/14/2013: OTHER-FOR ACCOUNTING PURPOSES ONLY - SAUVAGEAU INVESTMENT GROUP, LP - THIS THE OPERATING COMPANY OF SAUVAGEAU MANAGEMENT LLC. - TIME SPENT 50% - HOUSTON, TX. 3. 10/14/2013: OTHER-FOR ACCOUNTING PURPOSES ONLY - SAUVAGEAU MANAGEMENT, LLC - THE GENERAL PARTNER MANAGEMENT COMPANY. - TIME SPENT 50% - HOUSTON, TX. 4. 03/11/2015 - INTRUA FINANCIAL - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - TIME SPENT 0 HOURS PER MONTH - HOUSTON, TX. 5. 10/9/2015 - Intrua Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 10/15/2015 - 120 Hours Per Month During Securities Trading - Serve as an Investment Advisor Representative under the Intrua Financial RIA. Activities may include financial planning, rendering investment advice for a fee, retirement plan consulting, or other related financial consulting.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-10 |
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