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7616 Lbj Fwy Ste 724, Dallas, TX 75251 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-10-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Dallas | TX | 12/2006 | 11/2022 |
| Dallas Financial Advisors | Dallas | TX | 10/2023 | Present |
| Lpl Financial | Dallas | TX | 11/2022 | Present |
1) 01/15/2014 - RG Advisors, Inc - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2) 03/16/2017 - No Business Name - Non-inv Related - Dallas, TX - Notary - Start Date: 08/08/2008 - 2 Hrs/Mo; 2 Hrs During Trading 3) 11/01/2023 - Dallas Financial Advisors - Inv Related - Dallas, TX - Registered Investment Advisor - IAR - Start Date: 10/24/2023 - 160 Hrs/Mo & During Trading - I provide investment advisory services through Dallas Financial Advisors, an independent investment advisor firm. I started this business activity in 11/1/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-08-05 |
| S63 | Uniform Securities Agent State Law Examination | 2018-07-12 |
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