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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2025-01-09
  • LA RA
    APPROVED
    Since 2025-01-09

Branch Locations

New Orleans, LA • United States

420 Julia St, New Orleans, LA 70130 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc New Orleans LA 10/2012 01/2025
Jpmorgan Chase Bank, N.A New Orleans LA 01/2018 01/2025
Lpl Financial Llc New Orleans LA 01/2025 Present
Previous Registrations
  • 2012-10-01 → 2025-01-08
    New Orleans, LA
    New Orleans, LA
  • 2009-01-30 → 2012-10-01
    Chase Investment Services Corp.
    New Orleans, LA
Other Businesses

1 - 12/2024 - JENA STREET INVESTMENTS LLC - Real Estate Rental - Inv Related - 5 Hours/Month - LA 70125 - OBA Start Date: 07/20/2012.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-16
S63 Uniform Securities Agent State Law Examination 1998-06-30
  • S66 Uniform Combined State Law Examination
    2002-09-16
  • S63 Uniform Securities Agent State Law Examination
    1998-06-30

View on SEC IAPD

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