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1021 E. St. Mary Blvd., Lafayette, LA 70503 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2025-05-12 |
| TX | RA | APPROVED | 2025-04-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Lafayette | LA | 09/2009 | 04/2025 |
| Summit Financial Wealth Advisors | Lafayette | LA | 04/2025 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 07/2025 | Present |
1. Summit Financial Wealth Advisors. Investment related. At registered location. RIA. Financial Advisor. Start date: 04/2025. 160 hrs/month; all during trading hours. Advising clients on account allocation and investment selection. 2. Fixed Insurance. Investment related. At registered location. Fixed Insurnace. Agent. Start date: 04/2025. 6 hrs/month; all during trading hours. Provide insurance advice based on the needs of client(s). 3. Cornerstone Financial Group, Inc. Investment related. 213 N. College Road, Lafayette, LA 70506. Fixed Insurance. Agent. Start date: 10/2009. 0 hrs/month. Established for previous DBA for Insurance Business/Annuities. No current activity except receiving trail revenue. 4. Cornerstone Benefits, Ltd. Investment related. 213 N. College Road, Lafayette, LA 70506. Fixed Insurance. Insurance agent. Start date: 07/1980. 0 hrs/month. No current activity; kept open to continue receiving trail revenue. 5. University of Louisiana, Lafayette Foundation. Not investment related. 705 E St. Mary Blvd D, Lafayette, LA 70503. Board of Directors. Board member/Trustee. Start date: 10/2009. 5 hrs/month; during trading hours. Trustee/Board Member. 6. David J. Romagosa, CLU LTD. Investment related. 213 N. College Road, Lafayette, LA 70506. Fixed Insurance. Insurance agent. Start date: 12/2009. 20 hrs/month; all during trading hours. Agent/Producer for Non-Variable Insurance: Life; Health, Disability; LTC; Fixed Annuities. 7. ASOGAMOR, LLC. Investment related. 213 N. College Road, Lafayette, LA 70506. Business entity. Owner. Start date: 07/2014. 0 hrs/month. Business entity for personal tax purposes; owner of checking account/ makes money movement and investment decisions. 8. Cornerstone Settlements, Inc. Investment related. 213 N. College Road, Lafayette, LA 70506. Fixed Insurance. Insurance agent. Start date: 11/2009. 0 hrs/month. Non-Variable Insurance: Fixed Annuities ( No current activity) This is only left open to continue receiving trail revenue; owner on checking account.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-09 |
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