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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-08-13
  • TX RA
    APPROVED
    Since 2025-08-13

Branch Locations

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

4400 Post Oak Parkway Suite 1460, Houston, TX 77027 • United States

4400 Post Oak Parkway Suite 1460, 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
La Dodgers Los Angeles CA 06/2012 08/2020
B. Riley Houston TX 02/2016 04/2021
Toronto Blue Jays Toronto, Ontario 08/2020 10/2023
Wedbush Securities Houston TX 06/2021 08/2025
Lpl Financial Llc Houston TX 08/2025 Present
  • 06/2012 → 08/2020
    La Dodgers
    Los Angeles, CA
  • 02/2016 → 04/2021
    B. Riley
    Houston, TX
  • 08/2020 → 10/2023
    Toronto Blue Jays
    Toronto, Ontario
  • 06/2021 → 08/2025
    Wedbush Securities
    Houston, TX
  • 08/2025 → Present
    Houston, TX
Previous Registrations
  • 2022-05-31 → 2025-08-13
    Houston, TX
    Pasadena, CA
  • 2017-02-02 → 2021-04-20
    B. Riley Wealth Management
    Houston, TX
Other Businesses

1) 07/2025 - JBKS Holdings, LLC / Business Entity For Tax/Investment Purposes Only / Non Inv Related / Houston, TX 77055 / Start date 06/01/2025 2) 07/2025 - CC MADERA, LLC / Business Entity For Tax/Investment Purposes Only / Non Inv Related / Atlanta, GA 30342 / Start date 05/01/2024 3) 07/2025 - Skyward Financial LLC / DBA for LPL Business (entity for LPL business) Inv Related / At reported business location (s) 20 hrs per month 4) 07/2025 - Lucy pet / Business Owner / Owner and Investor / Non Inv Related / Non Inv Related / Start date 01/01/2017 5) 07/2025 - MLB Players Association / Member of former players council / Outside/W-2 Employment / Non Inv Related / New York, NY 10017 / Start date 04/01/2025 - 4 hrs per month - 1% time spent 6) 07/2025 - HTL Warehouse LLC / Business Owner / Owner and investor - Baseball facility / Non Inv Related / Brookshire, TX 77423 / Start date 01/01/2025 - 15 hrs per month - 10% time spent

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-02
  • S66 Uniform Combined State Law Examination
    2017-02-02

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