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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2011-07-19
TX RA APPROVED 2011-07-11
  • GA RA
    APPROVED
    Since 2011-07-19
  • TX RA
    APPROVED
    Since 2011-07-11

Branch Locations

340 Eisenhower Dr Ste 710, Savannah, GA 31406-1608 • United States

Savannah, GA • 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
Lpl Financial, Llc Savannah GA 07/2011 Present
Previous Registrations
  • 2006-08-16 → 2011-07-11
    Securities America Advisors, Inc.
    Savannah, GA
  • 2003-01-21 → 2006-09-05
    First Command Brokerage Services, Inc.
    Savannah, GA
    Savannah, GA
  • 2004-04-12 → 2005-09-02
    First Command Bank
    Fort Worth, TX
Other Businesses

1. 7/11/2011: The National Benefit Corp - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 20% - General agency for fixed insurance and LTC. 2. 5/12/2014: Live Oak Financial Planning - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Time Spent 1% - The corporate name "Live Oak Financial Planning, LLC" is an entity registered with the State of GA for tax purposes. I own the entity but do not hold the name out to the public for any reason. It's DBA is Live Oak Financial Services. 3. 5/14/2014: Live Oak Financial Services LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 35% - Life, health, DI, LTC, fixed annuity, term. Live Oak Financial Services, LLC is the DBA of Live Oak Financial Planning, LLC.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-03-02
S63 Uniform Securities Agent State Law Examination 1998-12-07
  • S65 Uniform Investment Adviser Law Examination
    2002-03-02
  • S63 Uniform Securities Agent State Law Examination
    1998-12-07
Designations

View on SEC IAPD

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