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Brooks A Bowman

LPl Financial LLC

Argyle, TX

CRD 5551774

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-10-24
  • TX RA
    APPROVED
    Since 2024-10-24

Branch Locations

Argyle, 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
Merrill Lynch Flower Mound TX 02/2009 10/2024
Bank Of America, Na Irving TX 12/2009 10/2024
Lpl Financial Llc Argyle TX 10/2024 Present
Uber Argyle TX 06/2024 08/2024
  • 02/2009 → 10/2024
    Merrill Lynch
    Flower Mound, TX
  • 12/2009 → 10/2024
    Bank Of America, Na
    Irving, TX
  • 10/2024 → Present
    Lpl Financial Llc
    Argyle, TX
  • 06/2024 → 08/2024
    Uber
    Argyle, TX
Previous Registrations
Other Businesses

1- 10/2024 / Bowman Wealth Management / DBA for LPL Business (entity for LPL business) / INV RLTD / 160 HRS MNTH / 8 HRS DURING TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-06-22
  • S66 Uniform Combined State Law Examination
    2009-06-22
Other Names
  • Brooks A Bowman
  • Brooks Alan Bowman

View on SEC IAPD

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