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Current Employers
Symphony Financial, Ltd. Co.

4295 San Felipe Suite 300, Houston, TX 77027 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-01-11
  • TX RA
    APPROVED
    Since 2023-01-11

Branch Locations

4295 San Felipe Suite 300, Houston, TX 77027 • 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
Axa Advisors, Llc New York NY 08/2014 06/2020
Equitable Advisors, Llc New York NY 08/2014 01/2023
Lpl Financial Llc Houston TX 01/2023 Present
Symphony Financial, Ltd. Co. Houston TX 01/2023 Present
Previous Registrations
Other Businesses

1)12/13/2022 - Apex Wealth & Risk Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 01/2023 2)1/3/2023 - Non-Variable Insurance - Aetna - Inv Rel - At Reported Business Location(s) - Start: 01/2023 3)1/20/2023 - Symphony Financial Limited Co. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 1/3/2023 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Symphony Financial Limited Co., an independent investment advisor firm. I started this business activity in 1/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4)1/20/2023 - Symphony Financial Limited Co. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Advisor - Start Date - 1/3/2023 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% 5) 03/04/2025- Antonio Carrillo Insurance Agency INC- Property and Casualty- INV Related- At Manvel, TX- Start date 04/01/2025- 10 Hours Per Month- 10 Hours During Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-04-23
S63 Uniform Securities Agent State Law Examination 2014-08-20
  • S65 Uniform Investment Adviser Law Examination
    2021-04-23
  • S63 Uniform Securities Agent State Law Examination
    2014-08-20

View on SEC IAPD

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