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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2025-01-08
TX RA APPROVED_RES 2003-04-14
  • AR RA
    APPROVED
    Since 2025-01-08
  • TX RA
    APPROVED_RES
    Since 2003-04-14

Branch Locations

301 Natural Resources Dr #202, Little Rock, AR 72205 • 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 Little Rock AR 05/2001 Present
Other Businesses

(1) 07/28/2005: NO BUSIENSS NAME - INV REL - REAL ESTATE RENTAL - START 40+ YEARS AGO - 10% OF TIME SPENT - SIX RESIDENTIAL HOUSES RENTED AS INVESTMENT PROPERTY, ALL HELD JOINTLY WITH MY SPOUSE (2) 07/29/2005: RETIREMENT ADVISORS OF ARKANSAS, INC. - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE DBA: RETIREMENT ADVISORS OF ARKANSAS, INC. - START 15+ YEARS AGO - 40% OF TIME SPENT - INS TYPES: LIFE, HEALTH, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES (3) 07/25/2006: PIE STUDY GROUP - TREASURER - 1% OF TIME SPENT - DUES, MAINTAIN CHECKBOOK, DEPOSITS AND EXPENSE REIMBURSEMENTS (4) 08/23/2006: NO BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - 10% OF TIME SPNET - SELL FIXED INSURANCE (5) 08/02/2007: RETIREMENT ADVISORS OF ARKANSAS - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) (6) 04/23/2015: RETIREMENT ADVISORS OF ARKANSAS, DBA - INV REL - 301 NATURAL RESOURCES DRIVE, # 202, LITTLE ROCK, ARKANSAS 72205 - REAL ESTATE RENTAL - START 07/01/2006 - 10 HR/MO NONE DURING SECS TRDG HRS - OWNER

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-20
S63 Uniform Securities Agent State Law Examination 1983-07-20
  • S65 Uniform Investment Adviser Law Examination
    1996-06-20
  • S63 Uniform Securities Agent State Law Examination
    1983-07-20

View on SEC IAPD

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