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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2010-03-29
TX RA APPROVED 2010-03-09
CA RA APPROVED 2010-02-26
  • LA RA
    APPROVED
    Since 2010-03-29
  • TX RA
    APPROVED
    Since 2010-03-09
  • CA RA
    APPROVED
    Since 2010-02-26

Branch Locations

2301 N Hwy 190, Suite 11, Covington, LA 70433 • United States

Mandeville, LA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Covington LA 02/2010 Present
  • 02/2010 → Present
    Lpl Financial
    Covington, LA
Previous Registrations
  • 2009-02-13 → 2010-03-01
    Cetera Investment Services Llc
    Covington, LA
    New Orleans, LA
  • 2003-05-07 → 2009-03-11
    Covington, LA
    Slidell, LA
    Metairie, LA
    Bogalusa, LA
    Metairie, LA
    Hammond, LA
    Hammond, LA
    Covington, LA
    Franklinton, LA
    Bogalusa, LA
    Slidill, LA
    New Orleans, LA
    Kenner, LA
    Mandeville, LA
    Mandeville, LA
Other Businesses

1. 02/26/2010 - ACCOUNTING AND TAXEX. VERY LITTLE ACTIVITY IN PAST COUPLE OF YEARS, CPA/BOOKKEEPER/TAX PREPARER, 1%. 2. 7/1/10 - DBA ONLY/BENCHMARK INVESTMENT GROUP

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-07-07
S63 Uniform Securities Agent State Law Examination 1984-03-23
  • S65 Uniform Investment Adviser Law Examination
    2009-07-07
  • S63 Uniform Securities Agent State Law Examination
    1984-03-23
Designations

View on SEC IAPD

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