Samuel David Baez

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2026-07-13

PA RA
APPROVED

Since 2026-07-13

Branch Locations

#1 E. Uwchlan Avenue Suite 401, Exton, PA 19341 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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
Royal Alliance	West Chester	PA	02/2012	07/2026
Key Financial	West Chester	PA	02/2012	07/2026
Lpl Financial Llc	Exton	PA	07/2026	Present

02/2012 → 07/2026

Royal Alliance

West Chester, PA
02/2012 → 07/2026

Key Financial

West Chester, PA
07/2026 → Present

Lpl Financial Llc

Exton, PA

Previous Registrations

2013-10-23 → 2026-07-17

Key Financial, Inc.

West Chester, PA

West Chester, PA
2009-12-14 → 2011-11-09

Edward Jones

St Louis, MO

Glenmoore, PA

Other Businesses

1. 07/2026 - Zantix Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hrs/Mth - 160 Hrs During Trading - At Reported Business Location(s) - OBA Start Date: 07/13/2026 2. 07/2026 - Zantix Wealth Management - Non-Variable Insurance - Investment Related - 160 Hrs/Mth - 160 Hrs During Trading - Exton, PA 19341 - OBA Start Date: 07/13/2026

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-12-11

S66 Uniform Combined State Law Examination

2009-12-11

Designations

Other Names

Samuel David Baez
Samuel David Baez

View on SEC IAPD