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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2026-02-24 |
| TX | RA | APPROVED_RES | 2023-08-30 |
| AZ | RA | APPROVED | 2023-07-19 |
| CA | RA | APPROVED | 2023-07-19 |
| CO | RA | APPROVED | 2023-07-19 |
| KS | RA | APPROVED | 2023-07-19 |
| MN | RA | APPROVED | 2023-07-19 |
| NE | RA | APPROVED | 2023-07-19 |
| ND | RA | APPROVED | 2023-07-19 |
| SD | RA | APPROVED | 2023-07-19 |
Branch Locations
395 N Executive Dr, Brookfield, WI 53005 • United States
Chandler, AZ • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chandler | AZ | 01/2012 | 07/2018 |
| Bank Of America, N.A. | Chandler | AZ | 01/2012 | 07/2018 |
| Morgan Stanley | Gilbert | AZ | 07/2018 | 09/2020 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 08/2018 | 09/2020 |
| Unemployed | Chandler | AZ | 09/2020 | 02/2021 |
| Bancwest Investment Services | Tempe | AZ | 02/2021 | Present |
| Bank Of The West | Tempe | AZ | 02/2021 | Present |
| Lpl Financial Llc | Tempe | AZ | 07/2023 | Present |
1. 04/27/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 2009-10-29 |
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