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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-06-12
LA RA APPROVED 2009-04-20
  • TX RA
    APPROVED_RES
    Since 2009-06-12
  • LA RA
    APPROVED
    Since 2009-04-20

Branch Locations

5150 Hwy 22, Suite C12, Mandeville, LA 70471 • United States

1080 Old Spanish Trl #2, Slidell, LA 70458 • United States

Slidell, LA • 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
OrganizationCityStateFromTo
Lpl Financial Llc Mandeville LA 03/2009 Present
Other Businesses

(1) 03/24/2009 - NO BUSINESS NAME - INV REL - 5150 HWY 22, SUITE C12, MANDEVILLE, LA 70471 - Non-Variable Insurance - Health insurance sales. - 0 Hrs/Mth - 0 Hrs During Trading -1% OF TIME SPENT. (2) 03/24/2009: Bruce Shields & Associates -DBA for LPL Business (entity for LPL business) - INV REL - 5150 HWY 22, SUITE C12, MANDEVILLE, LA 70471 - 0 Hrs/Mth - 0 Hrs During Trading . (3) 06/10/2009: Bruce Shields and Associates - INV REL - 5150 HWY 22, SUITE C12, MANDEVILLE, LA 70471 - Non-Variable Insurance - SALES OF FIXED LIFE AND HEALTH INSURANCE PRODUCTS - 0 Hrs/Mth - 0 Hrs During Trading -33% OF TIME SPENT (4) 5/15/2017: No Business Name - Investment Related - Slidell, LA - Real Estate Rental - Started 03/01/2017 - 5 Hours Per Month/0 Hours During Securities Trading. (5) 1/11/2018 - No Business Name - Not Investment Related - Home Based; Marrero, LA 70072; and Slidell, LA 70461 - Real Estate Rental - Start Date: 11/01/2005 - 6 Hours Per Month/0 Hours During Securities Trading. (6) 4/11/2018 - No Business Name - Not Investment Related - Slidell, LA 70461 - Real Estate Rental - Start Dated 06/01/2018 - 2 Hours Per Month/0 Hours During Securities Trading. (7) 12/18/2025-Jeffrey Bruce-Real Estate Rental-Not Inv Related-At Slidell, LA-Start date 11/01/2005-6hrs/mth (7) 4/30/2018 - No Business Name - Not Investment Related - Home Based & Marrero, LA 70072 - Real Estate Rental - Started 01/01/2006 - 2 Hours Per Month/0 Hours During Securities Trading - Properties are being managed by property manager. (8) 4/3/2020 - No Business Name - Investment Related - Slidell, LA 70458 - Real Estate Rental - Started 04/02/2020 - 2 Hours Per Month/0 Hours During Securities Trading - Property manager will take care of the placing of the new tenet, repair requests, collecting rents and all other requirements pertaining to renting out the property. (9) 11/17/2021 - No Business Name - Not Investment Related - Home Based - Business Owner - Start Date: 08/01/2020 - 20 Hours Per Month/0 Hours During Securities Trading - Online Sales - Selling old DVDs, Albums, household items, and random items from father-in-law's estate sale on eBay. (10) 09/21/2022 - Johnston Legacy Reality - Investment Related - Pearl River, LA 70452 - Other - Real Estate - Start Date - 06/01/2021 - 1 Hours Per Month/0 Hours During Securities Trading 11) 07/09/2025 - SP53 Holdings - Real Estate Rental - Investment Related - Marrero, LA - Start Date:07/08/2025 - 2 Hrs/Mth - 0 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-08
  • S66 Uniform Combined State Law Examination
    2006-09-08

View on SEC IAPD

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