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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-10-01
NM RA APPROVED 2025-09-05
  • TX RA
    APPROVED
    Since 2025-10-01
  • NM RA
    APPROVED
    Since 2025-09-05

Branch Locations

810 Calle Mejia Ste 102, Santa Fe, NM 87501 • United States

Albuquerque, NM • 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
United States Air Force Albuquerque NM 09/2020 08/2025
United States Air Force Yigo 07/2017 09/2020
United States Air Force Mountain Home ID 03/2010 07/2017
Lpl Financial Llc Santa Fe NM 03/2025 Present
  • 09/2020 → 08/2025
    United States Air Force
    Albuquerque, NM
  • 07/2017 → 09/2020
    United States Air Force
    Yigo
  • 03/2010 → 07/2017
    United States Air Force
    Mountain Home, ID
  • 03/2025 → Present
    Santa Fe, NM
Other Businesses

1) 2026-04-24 - Colonial Life - Non-Variable Insurance - Y - 10 - 0 - at reported business location(s) - 2026-04-22 - Serving as a independent agent with Colonial life, I provide group supplemental insurance solutions - such as accident, disability, and critical illness - to small businesses and their employees. This is strictly worksite, employer-sponsored insurance, not involving any securities or investment advisory services. All investment-related activities are conducted solely through LPL Financial 2) 2026-03-27 - Spears Wealth Advisory - Business Entity For Tax/Investment Purposes Only - N - 10 - 0 - at reported business location(s) - 2026-03-26 - Spears Wealth Advisory LLC is a business entity established for veteran-owned and service disabled veteran owned business certification and general business structuring purposes. I serve as owner. The entity does not provide financial planning, investment advisory, wealth management, insurance consulting, or any client facing financial services. All such activities are conducted exclusively through LPL Financial under Generational Asset Planning. The LLC does not receive client funds, provide investment recommendations, or engage in security related activity. 3) 2025-04-30 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Generational Asset Planning - DBA for LPL Business (entity for LPL business) - Y - 160 - 0 - at reported business location(s) - 2025-03-26 - 4) 2025-04-30 - Project Management Institute Rio Grande Chapter - Non-Profit Board Member - N - 5 - 0 - P.O. Box 3273 Albuquerque, NM 87190 - 2025-03-26 - 5) 2025-04-30 - Military - Outside/W-2 Employment - N - 0 - 0 - Kirtland AFB, Albuquerque New Mexico 87117 - 2025-03-26 - 6) 2025-04-30 - Suika Circuit - Outside/W-2 Employment - N - 16 - 0 - 100 Speedway Park Blvd, Albuquerque, NM 87121 - 2025-03-26 -

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-28
  • S66 Uniform Combined State Law Examination
    2025-08-28

View on SEC IAPD

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