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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-11-29 |
Branch Locations
1336 East Court Street, Seguin, TX 78155 • United States
1301 Oak Street, Jourdanton, TX 78026 • United States
13333 Blanco Rd Ste 100, San Antonio, TX 78216 • United States
1837 West Comal St, Pearsall, TX 78061 • United States
New Braunfels, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Centers Of America, Inc. | New Braunfels | TX | 08/2013 | 11/2017 |
| Lpl Financial Llc | Seguin | TX | 11/2017 | Present |
1. 5/9/2018 - 1st Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/02/2018 - 160 Hours Per Month/35 Hours During Securities Trading. 2. 12/18/2018 - Griffin Asset Management - DBA: Griffin Asset Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/01/2015 - 30 Hours Per Month/30 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 2014-05-07 |
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