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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2014-05-06
NM RA APPROVED 2013-09-23
  • TX RA
    APPROVED
    Since 2014-05-06
  • NM RA
    APPROVED
    Since 2013-09-23

Branch Locations

121 S. Canal Street, Carlsbad, NM 88220 • United States

105 N. 6Th St., Artesia, NM 88210 • 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 Carlsbad NM 08/2013 Present
Other Businesses

1. 4/4/2018 - Advocate Health LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 03/23/2018 - 3 Hours Per Month/1 Hour During Securities Trading. 2. 4/19/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 04/23/2018 - 1 Hour Per Month During Securities Trading - Sell Long Term Care Insurance. 3. 10/8/2019 - Advocate Health, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/25/2017 - 5 Hours Per Month/2 Hours During Securities Trading - Offer Medicare Advantage Plans, stand-alone prescription drug plans, Medicare supplement insurance plans, and other health plans. 4. 10/10/2019 - Carlsbad Medical Center Board of Trustee - Not Investment Related - Carlsbad Medical Center, 2430 W. Pierce St., Carlsbad, NM 88220 - For-Profit Board Member - Started 10/03/2019 - 1 Hour Per Month/0 Hours During Securities Trading - This is a community advisory board position for Carlsbad Medical Center, which is owned by Community Health Systems (CYH), not a Corporate Board of Directors position. 5. 8/18/2020 - Oakley & Irving Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/25/2014 - 10 Hours Per Month/5 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-09-04
  • S66 Uniform Combined State Law Examination
    2013-09-04
Designations
Other Names
  • Aaron Irving

View on SEC IAPD

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