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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-04-14
  • TX RA
    APPROVED
    Since 2025-04-14

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Plano, TX • United States

Plano, TX • 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
Fsc Securities Corporation Houston TX 02/2009 11/2023
The Legacy One Group Houston TX 01/2007 04/2025
Osaic Wealth, Inc. Plano TX 11/2023 04/2025
Lpl Financial Llc Plano TX 04/2025 Present
  • 02/2009 → 11/2023
    Fsc Securities Corporation
    Houston, TX
  • 01/2007 → 04/2025
    The Legacy One Group
    Houston, TX
  • 11/2023 → 04/2025
    Plano, TX
  • 04/2025 → Present
    Plano, TX
Previous Registrations
  • 2023-11-03 → 2025-04-17
    Plano, TX
  • 2009-02-27 → 2023-11-03
    Fsc Securities Corporation
    Atlanta, GA
    Plano, TX
  • 2005-02-23 → 2009-02-27
    Advantage Capital Corporation
    Houston, TX
    Houston, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-17
S63 Uniform Securities Agent State Law Examination 1993-09-15
  • S66 Uniform Combined State Law Examination
    2004-11-17
  • S63 Uniform Securities Agent State Law Examination
    1993-09-15
Designations

View on SEC IAPD

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