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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2019-10-31
TX RA APPROVED_RES 2019-10-31
  • OK RA
    APPROVED
    Since 2019-10-31
  • TX RA
    APPROVED_RES
    Since 2019-10-31

Branch Locations

501 Sw C Avenue, Lawton, OK 73501 • United States

128 W Main, Marlow, OK 73055 • United States

200 N Main St, Frederick, OK 73542 • United States

2204 Nw Ferris Ave, Lawton, OK 73507 • United States

1616 W Elk Ave, Duncan, OK 73533 • United States

122 N Broadway, Weatherford, OK 73096 • United States

3801 Nw Cache Rd, Lawton, OK 73505 • United States

105 W 4Th St, Hobart, OK 73651 • United States

15 Nw 67T St, Lawton, OK 73505 • 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
T. S. Phillips Investments, Inc. Lawton OK 01/2004 10/2019
Lpl Financial Llc Lawton OK 10/2019 Present
  • 01/2004 → 10/2019
    T. S. Phillips Investments, Inc.
    Lawton, OK
  • 10/2019 → Present
    Lawton, OK
Previous Registrations
  • 2010-07-27 → 2019-11-01
    Phillips Capital Advisors, Inc.
    Lawton, OK
Other Businesses

1)10/31/19- Independent Advisers Group- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100% 2)10/31/19- Notary- Inv. Related- Lawton, OK- start date 1/1/1997- 1hr/mth 3)10/31/19- Real Estate Rental- Owner- Inv. Related- Lawton, OK- start date 8/1/1987- 1hrs/mth-1%

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-07-26
S63 Uniform Securities Agent State Law Examination 1996-01-10
  • S65 Uniform Investment Adviser Law Examination
    2010-07-26
  • S63 Uniform Securities Agent State Law Examination
    1996-01-10

View on SEC IAPD

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