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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-09-22 |
Branch Locations
5700 Granite Pkwy Suite 360, Plano, TX 75024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lion Rock Ventures North America, Llc | Flower Mound | TX | 02/2014 | 09/2024 |
| Moraga Partners Llc | Flower Mound | TX | 12/2014 | 09/2024 |
| Avalon Securities, Ltd. | Dallas | TX | 08/2016 | 10/2017 |
| Ameriprise Financial Services Llc | Plano | TX | 09/2024 | 07/2025 |
| Lpl Enterprise Llc | Plano | TX | 09/2025 | Present |
1. 09/22/2025 - Moraga Analytics, LLC - Business Entity for Tax/Investment Purposes Only - Non Inv Related - Flower Mound, TX - Start Date 12/18/2014 - 0hrs/MTH 0hrs/MTH During Trading 2. 09/22/2025 - Moraga Partners, LLC - Business Entity for Tax/Investment Purposes Only - Non Inv Related - Flower Mound, TX - Start Date 12/18/2014 - 5hrs/MTH 0hrs/MTH During Trading 3. 09/22/2025 - Warner Springs Ag LLC - Business Owner - Non Inv Related - Hendrix, OK - Start Date 05/16/2022 - 10hrs/MTH 0hrs/MTH During Trading 4. 09/22/2025 - Lion Rock Ventures North America, LLC - Business Entity for Tax/Investment Purposes Only - Non Inv Related - Flower Mound, TX - Start Date 10/14/2009 - 0hrs/MTH 0hrs/MTH During Trading 5. 09/22/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - Flower Mound, TX - Start Date 09/03/2025 - 160hrs/MTH 160hrs/MTH During Trading 6. 09/22/2025 - JONATHAN DAVID HOOPES - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv Related - Flower Mound, TX - Start Date 09/03/2025 - 160hrs/MTH 160hrs/MTH During Trading 7. 06/25/2026 - Texas Toyota of Grapevine - Outside/W-2 Employment - Not Investment Related - Grapevine, TX - Start Date 06/24/2026 - 60 hours per month/ 16 hours during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2024-10-18 |
| S65 | Uniform Investment Adviser Law Examination | 2024-09-17 |
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