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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-10-23 |
Branch Locations
5701 Time Square Blvd Ste 350, Amarillo, TX 79119 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley & Co. Incorporated | Amarillo | TX | 01/2008 | 10/2018 |
| Morgan Stanley Smith Barney | Amarillo | TX | 06/2009 | 10/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 10/2018 |
| Lpl Financial, Llc | Amarillo | TX | 10/2018 | Present |
1. 3/1/2019 - J Golden Companies, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/21/2019 - 40 Hours Per Month During Securities Trading. 2. 8/3/2020 - ReCogen LLC - Investment Related - Home Based - Other-Patent - Start Date: 2/10/2004 - 0 Hours Per Month/0 Hours During Securities Trading - Own 75% of a patent for a steam turbine. 3. 12/23/2020 - Rick Husband Amarillo International Airport - Not Investment Related - 10801 Airport Blvd. Amarillo, TX 79111 - Other-Politics/Government - Started 1/1/2020 - 1 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-10 |
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