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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2025-04-28
TX RA APPROVED 2025-04-25
  • NV RA
    APPROVED
    Since 2025-04-28
  • TX RA
    APPROVED
    Since 2025-04-25

Branch Locations

6725 Via Austi Pkwy Ste 230, Las Vegas, NV 89119 • 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
Bankers Life And Casualty Las Vegas NV 02/2006 08/2022
Bankers Life Securities Inc Las Vegas NV 06/2016 08/2022
Bankers Life And Casualty Las Vegas NV 02/2006 08/2022
Cetera Advisors Llc St Cloud MN 08/2022 04/2025
Goldenshield Financial Llc Henderson NV 08/2022 Present
One Tree Wealth Management Henderson NV 10/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2024 04/2025
Lpl Financial Las Vegas NV 04/2025 Present
  • 02/2006 → 08/2022
    Bankers Life And Casualty
    Las Vegas, NV
  • 06/2016 → 08/2022
    Bankers Life Securities Inc
    Las Vegas, NV
  • 02/2006 → 08/2022
    Bankers Life And Casualty
    Las Vegas, NV
  • 08/2022 → 04/2025
    Cetera Advisors Llc
    St Cloud, MN
  • 08/2022 → Present
    Goldenshield Financial Llc
    Henderson, NV
  • 10/2022 → Present
    One Tree Wealth Management
    Henderson, NV
  • 03/2024 → 04/2025
    Schaumburg, IL
  • 04/2025 → Present
    Lpl Financial
    Las Vegas, NV
Previous Registrations
Other Businesses

1)04/25/2025 - Notary - State of NV - Inv Rel - Start: 03/01/2025 - 1 Hrs/Mth - 0 Hrs During Trading. 2)04/25/2025 - Goldenshield Financial LLC - Insurance Agency - 50% Partner - Inv Rel - At Reported Business Location(s) - Start: 08/17/2022 - 8 Hrs/Mth - 2 Hrs During Trading. 3)04/25/2025 - One Tree Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start Date: 08/17/2022 - 160 Hrs/Mth - 7 Hrs During Trading. 4) 10/15/2025 - DAS Legacy Holding LLC - Not Investment Related - Business Entity For Tax/Investment Purposes Only - Home Based - Start Date:10/11/2025 - 0 Hrs/Mth - 0 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-30
  • S66 Uniform Combined State Law Examination
    2016-11-30
Designations
Other Names
  • Berenice Alvarez
  • Bernice Diaz

View on SEC IAPD

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