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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2024-07-10
  • AR RA
    APPROVED
    Since 2024-07-10

Branch Locations

121 West Front St, Lonoke, AR 72086 • United States

121 West Front St, Lonoke, AR 72086 • 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
OrganizationCityStateFromTo
Girard Securities Lonoke AR 01/2016 11/2017
Cetera Advisor Networks Llc El Segundo CA 11/2017 07/2024
Cetera Investment Advisers Llc Schaumburg IL 06/2023 07/2024
Lpl Financial, Llc. Lonoke AR 07/2024 Present
Previous Registrations
  • 2023-06-29 → 2024-07-10
    Lonoke, AR
  • 2017-11-01 → 2023-06-29
    Cetera Wealth Services, Llc
    Lonoke, AR
  • 2016-01-08 → 2017-11-01
    Girard Securities, Inc.
    San Diego, CA
    Lonoke, AR
    Stuttgart, AR
  • 2015-09-11 → 2016-01-14
    Lonoke, AR
Other Businesses

1 - 06/26/2024 - GRAND PRAIRIE FINANCIAL PLANNING INC - DBA for LPL Business (entity for LPL business) - Inv Related - 140 hours/month - 7 hours during trading - At reported business location(s).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-10
  • S66 Uniform Combined State Law Examination
    2015-09-10

View on SEC IAPD

Other Firms

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