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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2023-11-03
TX RA APPROVED 2021-03-01
  • CO RA
    APPROVED
    Since 2023-11-03
  • TX RA
    APPROVED
    Since 2021-03-01

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Ft Collins, CO • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Kestra Financial Services, Inc. Austin TX 04/2016 02/2021
Lpl Financial Llc Buda TX 02/2021 Present
  • 04/2016 → 02/2021
    Kestra Financial Services, Inc.
    Austin, TX
  • 02/2021 → Present
    Buda, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-21
  • S66 Uniform Combined State Law Examination
    2012-12-21

View on SEC IAPD

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