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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2026-03-31 |
| AZ | RA | APPROVED | 2023-07-19 |
Branch Locations
10050 Cooors Bypass, Nw, Albuquerque, NM 87114 • United States
Mesa, 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 |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 07/2010 | 09/2019 |
| Unemployed | Glendale | AZ | 10/2019 | 03/2020 |
| Bmo Bank Na | Tempe | AZ | 03/2020 | Present |
| Bancwest Investment Services, Inc. | Tempe | AZ | 03/2020 | 07/2023 |
| Lpl Financial Llc | Tempe | AZ | 07/2023 | Present |
1. 05/09/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 05/09/2023 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Advisor - Start Date 07/20/2023 - 160 Hours Per Month/ 40 Hours During Trading - Time Spent 90%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 2010-08-04 |
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