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Current Employers
Allworth Financial, L.P.

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2022-01-04
LA RA APPROVED 2021-12-23
MO RA APPROVED 2021-12-23
NJ RA APPROVED 2021-12-23
PA RA APPROVED 2021-12-23
TX RA APPROVED 2021-12-23
  • GA RA
    APPROVED
    Since 2022-01-04
  • LA RA
    APPROVED
    Since 2021-12-23
  • MO RA
    APPROVED
    Since 2021-12-23
  • NJ RA
    APPROVED
    Since 2021-12-23
  • PA RA
    APPROVED
    Since 2021-12-23
  • TX RA
    APPROVED
    Since 2021-12-23

Branch Locations

3 Cityplace Dr Suite 290, St. Louis, MO 63141 • United States

340 Palladio Pkwy. Suite 501, Folsom, CA 95630 • 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
National Planning Corporation St. Louis MO 05/2007 11/2017
Lpl Financial Llc St. Louis MO 11/2017 12/2021
Aw Securities St. Louis MO 12/2021 Present
Allworth Financial St. Louis MO 12/2021 Present
  • 05/2007 → 11/2017
    National Planning Corporation
    St. Louis, MO
  • 11/2017 → 12/2021
    St. Louis, MO
  • 12/2021 → Present
    Aw Securities
    St. Louis, MO
  • 12/2021 → Present
    Allworth Financial
    St. Louis, MO
Previous Registrations
  • 2017-11-29 → 2021-12-22
    Cape Girardeau, MO
    St. Louis, MO
    Fulton, MO
    Cape Girardeau, MO
  • 2007-05-31 → 2017-12-06
    National Planning Corporation
    Los Angeles, CA
    St. Louis, MO
    Fulton, MO
    Jefferson City, MO
    Cape Girardeau, MO
    Los Angeles, CA
  • 2003-08-15 → 2007-05-31
    Associated Securities Corp.
    St Louis, MO
  • 2003-09-10 → 2007-02-02
    Associated Planners Investment Advisory Inc
    St. Louis, MO
  • 1999-04-16 → 2003-08-26
    Signator Investors, Inc.
    St Louis, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-11
S63 Uniform Securities Agent State Law Examination 1983-10-28
  • S65 Uniform Investment Adviser Law Examination
    1998-08-11
  • S63 Uniform Securities Agent State Law Examination
    1983-10-28
Designations

View on SEC IAPD

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