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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2026-03-04
  • CO RA
    APPROVED
    Since 2026-03-04

Branch Locations

8101 E Prentice Ave Ste 775, Greenwood Village, CO 80111 • 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
Pruco Securities, Llc Englewood CO 04/2024 11/2024
S&P Global Denver CO 10/2021 02/2024
Kpmg Denver CO 01/2021 06/2021
Ibm Greenwood Village CO 10/2018 12/2020
Iheartmedia Inc. New York NY 03/2018 10/2018
Student Denver CO 08/2013 12/2017
Unemployed Denver CO 07/2021 09/2021
Lpl Enterprise, Llc Englewood CO 11/2024 01/2025
Massmutual Life Insurance Co Denver CO 02/2025 03/2026
Mml Investors Services, Llc Denver CO 08/2025 Present
Prudential Englewood CO 04/2024 11/2024
Unemployed Denver CO 02/2024 04/2024
Lpl Financial Greenwood Village CO 03/2026 Present
Upstream Investment Partners Greenwood Village CO 03/2026 Present
  • 04/2024 → 11/2024
    Pruco Securities, Llc
    Englewood, CO
  • 10/2021 → 02/2024
    S&P Global
    Denver, CO
  • 01/2021 → 06/2021
    Kpmg
    Denver, CO
  • 10/2018 → 12/2020
    Ibm
    Greenwood Village, CO
  • 03/2018 → 10/2018
    Iheartmedia Inc.
    New York, NY
  • 08/2013 → 12/2017
    Student
    Denver, CO
  • 07/2021 → 09/2021
    Unemployed
    Denver, CO
  • 11/2024 → 01/2025
    Lpl Enterprise, Llc
    Englewood, CO
  • 02/2025 → 03/2026
    Massmutual Life Insurance Co
    Denver, CO
  • 08/2025 → Present
    Denver, CO
  • 04/2024 → 11/2024
    Prudential
    Englewood, CO
  • 02/2024 → 04/2024
    Unemployed
    Denver, CO
  • 03/2026 → Present
    Lpl Financial
    Greenwood Village, CO
  • 03/2026 → Present
    Upstream Investment Partners
    Greenwood Village, CO
Previous Registrations
Other Businesses

1. 2/2026 - Upstream Investment Partners - DBA for LPL Business (entity for LPL business) - Inv Rel - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 3/2/2026 2. 2/2026 - Sydney Bornstein LLC - Business Entity For Tax/Investment Purposes Only - Inv Rel - 0 Hour(s)/Month - 0 Hour(s) During Trading - Denver CO 80229 - OBA Start Date: 12/16/2025

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-20
  • S66 Uniform Combined State Law Examination
    2024-11-20

View on SEC IAPD

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