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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-11-09 |
| NM | RA | APPROVED | 2022-10-27 |
Branch Locations
3939 Osuna Rd Ne, Albuquerque, NM 87109-4431 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
3939 Osuna Rd Ne, Albuquerque, NM 87109-4431 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 03/2017 | 08/2018 |
| Berry Enterprises Llc | Mesa | AZ | 09/2016 | 10/2022 |
| Self Employed | Mesa | AZ | 11/2016 | 10/2022 |
| Ubs Financial Services Inc. | Charlotte | NC | 10/2018 | 05/2020 |
| Lpl Financial Llc | Albuquerque | NM | 06/2020 | Present |
| U.S. Eagle Federal Cu | Albuquerque | NM | 10/2022 | Present |
1. 10/03/2022 - U.S. EAGLE CREDIT UNION/ FINANCIAL INSTITUTION DUTY/ INVESTMENT RELATED/ 0%/ FINANCIAL INSTITUTION DUTY, NM 2. 09/08/2023 - U.S. Eagle Investment Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/22/2023 - 160 Hours Per Month/ During Trading 3. 04/12/2024 - Valencia County Commission - Non-Inv Related - Los Lunas, NM - Non-Profit Board Member - Valencia County Commissioner - Started: 1/20/2025 - 10 Hrs/Mo; 0 Hr During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 2017-05-04 |
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