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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2023-09-19
TX RA APPROVED 2023-09-18
  • NM RA
    APPROVED
    Since 2023-09-19
  • TX RA
    APPROVED
    Since 2023-09-18

Branch Locations

6301 Indian School Rd Ne #670, Albuquerque, NM 87110 • 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
Securities America, Inc. Rio Rancho NM 06/2018 11/2019
University Of New Mexico Albuquerque NM 01/2018 05/2018
University Of New Mexico Albuquerque NM 06/2015 05/2018
Pfg Advisors, Llc Peoria AZ 08/2018 11/2019
Commonwealth Financial Network Waltham MA 12/2019 10/2020
Wealth Management Group, Llc Rio Rancho NM 12/2019 10/2020
Valic Financial Advisors, Inc. Albuquerque NM 11/2020 Present
Agia Houston TX 12/2022 Present
Lpl Financial Llc Albuquerque NM 09/2023 Present
  • 06/2018 → 11/2019
    Securities America, Inc.
    Rio Rancho, NM
  • 01/2018 → 05/2018
    University Of New Mexico
    Albuquerque, NM
  • 06/2015 → 05/2018
    University Of New Mexico
    Albuquerque, NM
  • 08/2018 → 11/2019
    Pfg Advisors, Llc
    Peoria, AZ
  • 12/2019 → 10/2020
    Waltham, MA
  • 12/2019 → 10/2020
    Wealth Management Group, Llc
    Rio Rancho, NM
  • 11/2020 → Present
    Albuquerque, NM
  • 12/2022 → Present
    Agia
    Houston, TX
  • 09/2023 → Present
    Albuquerque, NM
Previous Registrations
Other Businesses

1) 09/18/2023 - Wealth Management and Legacy Planning Group - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - Start Date:9/18/2023 - 0 Hrs/Mth - 0 Hrs During Trading. 2) 09/18/2023 - HOLIDAY FINANCIALS LLC - Business Entity For Tax/Investment Purposes Only - Owner - NM 87124 - Non investment related -Start date: 8/15/2018- 20 Hours per month. 3) 09/18/2023 - Non-Variable Insurance - Selling: Life, LTC and health/Cromp - NM 87110 - Investment related - Start date: 9/18/2023 - 40 Hrs/Mth - 2 Hrs During Trading. 4) 02/27/2025 - AARP - Investment Related - Tax Prep/Accounting/CPA - Rio Rancho, NM - Start Date:02/17/2025 - 50 Hrs/Mth - 32 Hrs During Trading. 5) 07/01/2025 - Legacy Tax Partners Inc. - Investment Related - Tax Prep/Accounting/CPA - At Reported Business Location(s) - Start Date:10/01/2025 - 15 Hrs/Mth - 1 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-31
  • S66 Uniform Combined State Law Examination
    2018-07-31

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