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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-10-26 |
| CA | RA | APPROVED | 2021-10-25 |
Branch Locations
3 disclosure categories 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 |
|---|---|---|---|---|
| Compass Bank | Birmingham | AL | 10/2013 | 08/2021 |
| Bbva Securities Inc. | Chandler | AZ | 10/2013 | 08/2021 |
| Bbva Wealth Solutions Inc. | Chandler | AZ | 01/2014 | 08/2021 |
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 11/2013 | 08/2021 |
| Pnc Investments | Phoenix | AZ | 08/2021 | 10/2021 |
| Lpl Financial, Llc | Phoenix | AZ | 10/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-16 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-12 |
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