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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-07-22 |
Branch Locations
426 North 44Th St Ste 115, Phoenix, AZ 85008 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Vicus Capital, Inc. (Formerly Pfg Financial Advisors) | State College | PA | 01/2014 | 06/2018 |
| Enterprise Bank & Trust | Olathe | KS | 12/2013 | 05/2023 |
| Cetera Advisor Networks Llc | El Segundo | CA | 01/2014 | 06/2018 |
| Cetera Investment Advisers Llc | Overland Park | KS | 01/2020 | 05/2023 |
| Cetera Investment Services Llc | St Cloud | MN | 01/2020 | 05/2023 |
| Unemployed | Glendale | AZ | 05/2023 | 07/2023 |
| Comerica Securities, Inc. | Phoenix | AZ | 07/2023 | 11/2023 |
| Ameriprise Financial Services, Llc | Phoenix | AZ | 11/2023 | 07/2026 |
| Lpl Financial | Phoenix | AZ | 07/2026 | Present |
1. 07/2026 - Southwest Wealth Advisory Group LLC - DBA for LPL Business (entity for LPL business) - Investment Related - 180 Hrs/Mth - 110 Hrs During Trading - At Reported Business Location(s) - OBA Start Date: 07/21/2026 2. 07/2026 - Chris Torres - Non-Variable Insurance - Investment Related - 00 Hrs/Mth - 00 Hrs During Trading - Phoenix, AZ 85008 - OBA Start Date: 07/21/2026 3. 07/2026 - Los Cinco Torres - Business Entity For Tax/Investment Purposes Only - Investment Related - 01 Hrs/Mth - 01 Hrs During Trading - Glendale, AZ 85310 - OBA Start Date: 07/21/2026
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-03-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-12 |
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