Sarah Patrica Puckett

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2016-10-19

TX RA
APPROVED

Since 2016-10-19

Branch Locations

Leander, TX • United States

Horseshoe Bay, TX • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Austin	TX	12/2011	Present
Independent Financial Partners	Leander	TX	10/2014	11/2016

12/2011 → Present

Lpl Financial Llc

Austin, TX
10/2014 → 11/2016

Independent Financial Partners

Leander, TX

Previous Registrations

2014-10-29 → 2016-11-01

Independent Financial Partners

Leander, TX

Leander, TX
2003-07-01 → 2011-12-12

Wells Fargo Clearing Services, Llc

Austin, TX

Austin, TX
1994-05-23 → 2003-07-01

Prudential Equity Group, Llc

Austin, TX

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-05-20
S65	Uniform Investment Adviser Law Examination	1994-05-20

S63 Uniform Securities Agent State Law Examination

1994-05-20
S65 Uniform Investment Adviser Law Examination

1994-05-20

Other Names

Kitty Keeton
Sarah Patrica Keeton
Kitty Puckett
Sarah Patricia Puckett

View on SEC IAPD