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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-07-19
CO RA APPROVED 2023-07-19
CT RA APPROVED 2023-07-19
NE RA APPROVED 2023-07-19
NJ RA APPROVED 2023-07-19
NM RA APPROVED 2023-07-19
NY RA APPROVED 2023-07-19
TX RA APPROVED_RES 2023-07-19
UT RA APPROVED 2023-07-19
WY RA APPROVED 2023-07-19
  • AZ RA
    APPROVED
    Since 2023-07-19
  • CO RA
    APPROVED
    Since 2023-07-19
  • CT RA
    APPROVED
    Since 2023-07-19
  • NE RA
    APPROVED
    Since 2023-07-19
  • NJ RA
    APPROVED
    Since 2023-07-19
  • NM RA
    APPROVED
    Since 2023-07-19
  • NY RA
    APPROVED
    Since 2023-07-19
  • TX RA
    APPROVED_RES
    Since 2023-07-19
  • UT RA
    APPROVED
    Since 2023-07-19
  • WY RA
    APPROVED
    Since 2023-07-19

Branch Locations

9335 East County Line Road, Centennial, CO 80112-3539 • 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
Bmo Bank Na Centennial CO 06/2013 Present
Bancwest Investment Services Centennial CO 08/2013 02/2023
Lpl Financial Llc Centennial CO 07/2023 Present
  • 06/2013 → Present
    Bmo Bank Na
    Centennial, CO
  • 08/2013 → 02/2023
    Bancwest Investment Services
    Centennial, CO
  • 07/2023 → Present
    Centennial, CO
Previous Registrations
  • 2014-01-28 → 2023-07-19
    Bancwest Investment Services, Inc.
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Rio Rancho, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Albuquerque, NM
    Cedar Crest, NM
    Albuquerque, NM
    Albuquerque, NM
    New York, NY
    Newport Beach, CA
    Fraser, CO
    Centennial, CO
    Denver, CO
Other Businesses

1. 05/15/2023 - Casas Homes LLC - Not Investment Related - Home Based - Business Owner - Start Date 07/05/2014 - 1 Hour Per Month/ 0 Hours During Securities Trading - Time Spent 1% 2. 05/15/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 3. 05/15/2023 - No Business Name - Investment Related - Home Based - Real Estate Rental - Start Date 07/05/2014 - 1 Hour Per Month/ 0 Hours During Securities Trading - Time Spent 1% 4. 06/29/2023 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - SVP Market Leader - Start Date 7/19/2023 5. 08/30/2024 - Tico Sports - Outside/W-2 Employment - Commentator - Not Investment Related - Start Date 08/25/2024 - 20 Hours Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-24
  • S66 Uniform Combined State Law Examination
    2014-01-24
Other Names
  • Andres R Casas Wilches

View on SEC IAPD

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