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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-06-05 |
Branch Locations
3790 S. Broadway, Englewood, CO 80113 • United States
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Catholic Health Initiatives - Centura Health - Flight For Life | Denver | CO | 01/2000 | Present |
| Cleo Hickman, Inc. | Englewood | CO | 01/2009 | Present |
| Financial West Group | Westlake Village | CA | 05/2017 | 08/2017 |
| Western International Securities, Inc. | Pasadena | CA | 08/2017 | 06/2025 |
| Lpl Financial Llc | Englewood | CO | 06/2025 | Present |
1. 06/05/2025- Colorado Kauai, a joint venture- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)- Start date 01/12/2009- 1 Hour Per Month- 1 Hour During Trading 2. 06/05/2025- Colorado Maui, LLC- Business Entity For Tax/Investment Purposes Only- At Reported Business Location(s)- Start date 01/12/2009- 2 Hour Per Month- 2 Hours During Trading 3. 06/05/2025-Cleo Hickman Inc.- Tax Prep/Accounting/CPA- INV Related- At Reported Business Location(s)- Start date 02/01/2009- 120 Hours Per Month- 10 Hours During Trading 4. 06/05/2025- CommonSpirit Health- Outside/W-2 Employment- Not INV Related- At Centennial, CO- Start date 03/15/1999- 24 Hours Per Month- 10 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-08-22 |
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