Tristan Edward Dotts

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
OK	RA	APPROVED	2021-07-21
TX	RA	APPROVED_RES	2021-07-21

OK RA
APPROVED

Since 2021-07-21
TX RA
APPROVED_RES

Since 2021-07-21

Branch Locations

4200 E Skelly Dr Ste 1020, Tulsa, OK 74135 • 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

Organization	City	State	From	To
Waddell & Reed, Inc.	Tulsa	OK	08/2009	07/2021
Various Insurance Carriers For W&R Insurance Agencies	Broken Arrow	OK	08/2009	07/2021
Lpl Financial Llc	Tulsa	OK	07/2021	Present

08/2009 → 07/2021

Waddell & Reed, Inc.

Tulsa, OK
08/2009 → 07/2021

Various Insurance Carriers For W&R Insurance Agencies

Broken Arrow, OK
07/2021 → Present

Lpl Financial Llc

Tulsa, OK

Previous Registrations

2009-08-11 → 2021-07-21

Waddell & Reed

Tulsa, OK

Edmond, OK

Tulsa, OK
2009-01-05 → 2009-05-21

Edward Jones

Broken Arrow, OK

Broken Arrow, OK

St Louis, MO

Other Businesses

1) 01/2021 - SouthPaw Financial / DBA for LPL Business (entity for LPL business) / Investment Related / 0HR / MO / 4200 E Skelly Dr Suite 1020 Tulsa, Ok 74135

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-12-19

S66 Uniform Combined State Law Examination

2008-12-19

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

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