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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-07-19
CO RA APPROVED 2023-07-19
CT RA APPROVED 2023-07-19
MT RA APPROVED 2023-07-19
OK RA APPROVED 2023-07-19
TX RA APPROVED_RES 2023-07-19
  • CA RA
    APPROVED
    Since 2023-07-19
  • CO RA
    APPROVED
    Since 2023-07-19
  • CT RA
    APPROVED
    Since 2023-07-19
  • MT RA
    APPROVED
    Since 2023-07-19
  • OK RA
    APPROVED
    Since 2023-07-19
  • TX RA
    APPROVED_RES
    Since 2023-07-19

Branch Locations

11451 S 20 Mile Rd, Parker, CO 80134 • United States

1389 S. Havana St, Aurora, CO 80012 • United States

770 East Kiowa Ave, Elizabeth, CO 80107 • United States

700 S Abilene St, Aurora, CO 80012 • United States

2 Steele St, Denver, CO 80206 • United States

3102 S Sheridan Blvd, Denver, CO 80227 • United States

6050 S Holly St, Greenwood Village, CO 80111 • United States

Greenwood Village, CO • United States

7995 E Hampden Ave, Denver, CO 80231 • United States

9630 Heritage Hills Circle, Lone Tree, CO 80124 • United States

13781 E Yale Ave, Aurora, CO 80014 • 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
Wells Fargo Bank Na Mountain View CA 02/2012 12/2017
Wells Fargo Advisors Llc Mountain View CA 05/2014 11/2016
Wells Fargo Clearing Services, Llc Mountain View CA 11/2016 12/2017
Bank Of The West Parker CO 12/2017 Present
Bancwest Investment Services, Inc. Parker CO 12/2017 Present
Lpl Financial Llc Aurora CO 07/2023 Present
  • 02/2012 → 12/2017
    Wells Fargo Bank Na
    Mountain View, CA
  • 05/2014 → 11/2016
    Wells Fargo Advisors Llc
    Mountain View, CA
  • 11/2016 → 12/2017
    Mountain View, CA
  • 12/2017 → Present
    Bank Of The West
    Parker, CO
  • 12/2017 → Present
    Bancwest Investment Services, Inc.
    Parker, CO
  • 07/2023 → Present
    Aurora, CO
Previous Registrations
  • 2018-01-02 → 2023-07-19
    Bancwest Investment Services, Inc.
    Centennial, CO
    Elizabeth, CO
    Centennial, CO
    Lone Tree, CO
    Parker, CO
    Aurora, CO
    Denver, CO
    Denver, CO
    Omaha, NE
  • 2015-07-07 → 2017-12-15
    Greenwood Village, CO
    Parker, CO
    Mountain View, CA
    Palo Alto, CA
    Englewood, CO
    Franktown, CO
    Franktown, CO
    Lone Tree, CO
Other Businesses

1. 05/01/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-07
S63 Uniform Securities Agent State Law Examination 2014-07-09
  • S66 Uniform Combined State Law Examination
    2015-07-07
  • S63 Uniform Securities Agent State Law Examination
    2014-07-09
Other Names
  • Joyce Mueni Nzomo
  • Joyce Lello

View on SEC IAPD

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