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Ava Diane Smith

LPl Financial LLC

Corpus Christi, TX

Southlake, TX

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-08-26
  • TX RA
    APPROVED
    Since 2021-08-26

Branch Locations

6210 Wooldridge Rd, Corpus Christi, TX 78414-2528 • United States

Southlake, TX • 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
Voya Financial Advisors Southlake TX 09/2014 06/2021
Cetera Advisor Networks Llc El Segundo CA 06/2021 08/2021
Lpl Financial Llc Southlake TX 08/2021 Present
  • 09/2014 → 06/2021
    Voya Financial Advisors
    Southlake, TX
  • 06/2021 → 08/2021
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 08/2021 → Present
    Lpl Financial Llc
    Southlake, TX
Previous Registrations
  • 2021-06-09 → 2021-09-01
    Cetera Wealth Services, Llc
    Toledo, OH
    Southlake, TX
  • 2004-09-22 → 2021-06-09
    Voya Financial Advisors, Inc.
    Overland Park, KS
    Irving, TX
    Dallas, TX
    Southlake, TX
    Lake St. Louis, MO
    Windsor, CT
    Toledo, OH
  • 2002-07-03 → 2004-09-21
    New England Securities
    Dallas, TX
Other Businesses

1) 8/2021- Corpus Christi Financial Group- DBA for LPL Business (entity for LPL business)- inv. related - Corpus Christi, TX

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-09-10
  • S63 Uniform Securities Agent State Law Examination
    1984-09-10
Designations
Other Names
  • Diane Faughn

View on SEC IAPD

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FROST INVESTMENT SERVICES
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DAVIDSON CAPITAL MANAGEMENT, INC
FIRST COMMAND ADVISORY SERVICES
OSAIC WEALTH, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC

Other Investors

MATTHEW ALLEN APPLE
JOHN SCOTT HOLLOWAY
KIMBERLY SUE PROWSE
Maria Juliana Canamar
GREY LEWIS PROWSE
BRIAN LEE SMITH
RICHARD PATRICK SWETISH
Sharon Lenise Walls

Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Corpus Christi, TX
FROST INVESTMENT SERVICES · CORPUS CHRISTI, TX
EDWARD JONES · Corpus Christi, TX
DAVIDSON CAPITAL MANAGEMENT, INC · CORPUS CHRISTI, TX
FIRST COMMAND ADVISORY SERVICES · Corpus Christi, TX
OSAIC WEALTH, INC. · CORPUS CHRISTI, TX
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CORPUS CHRISTI, TX
DAVIDSON CAPITAL MANAGEMENT, INC · CORPUS CHRISTI, TX

More in Corpus Christi, TX

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