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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2025-05-01
  • LA RA
    APPROVED
    Since 2025-05-01

Branch Locations

2245 Virginia St Ste A, Baton Rouge, LA 70802 • 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
Royal Capital Management Group Llc Middletown CT 03/2009 Present
Kma, Llc Zachary LA 01/2004 05/2025
Next Financial Group, Inc. Houston TX 01/2015 02/2020
Grove Point Investments, Llc Rockville MD 02/2020 05/2025
Grove Point Advisors, Llc Rockville MD 04/2021 05/2025
Lpl Financial Llc Baton Rouge LA 05/2025 Present
  • 03/2009 → Present
    Royal Capital Management Group Llc
    Middletown, CT
  • 01/2004 → 05/2025
    Kma, Llc
    Zachary, LA
  • 01/2015 → 02/2020
    Next Financial Group, Inc.
    Houston, TX
  • 02/2020 → 05/2025
    Grove Point Investments, Llc
    Rockville, MD
  • 04/2021 → 05/2025
    Grove Point Advisors, Llc
    Rockville, MD
  • 05/2025 → Present
    Baton Rouge, LA
Previous Registrations
  • 2021-04-01 → 2025-05-01
    Grove Point Advisors, Llc
    Rockville, MD
    Rockville, MD
    Baton Rouge, LA
  • 2020-02-28 → 2021-04-01
    Grove Point Investments, Llc
    Rockville, MD
    Rockville, MD
    Baton Rouge, LA
  • 2015-01-13 → 2020-03-03
    Next Financial Group, Inc.
    Houston, TX
    Baton Rouge, LA
  • 2014-08-28 → 2015-01-06
    Zachary, LA
  • 2009-04-06 → 2012-07-26
    Middletown, CT
    Simi Valley, CA
Other Businesses

1- 05/2025 - Royal Capital Management Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/01/1994- 120 hours per month/ 100 hours during trading 2- 07/14/2025 - Eric B. King - Notary - Investment Related - At Reported Business Location(s) - Start Date 04/01/2021- 1 hour per month/ 0 hours during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-10-06
S63 Uniform Securities Agent State Law Examination 1995-02-14
  • S65 Uniform Investment Adviser Law Examination
    2006-10-06
  • S63 Uniform Securities Agent State Law Examination
    1995-02-14

View on SEC IAPD

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