Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2011 (1 year)2 FIRMS2012 - Present (12 years)
Disclosure(s)
View By:
4/12/2018
Customer Dispute
Settled
License(s)

State Registrations

B
California 9/2/2020
B
Louisiana 5/11/2020
B
Illinois 5/4/2016
B
Texas 6/12/2012
IA
Illinois 6/10/2021
IA
Texas 6/12/2012

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
LPL FINANCIAL LLC (CRD#:6413)
301 N. WASHINGTON ST, ROUND TOP, TX 78954
ROUND TOP STATE BANK 8681 HWY 77, LEXINGTON, TX 78947
Registered with this firm since 6/12/2012
IA
LPL FINANCIAL LLC (CRD#:6413)
301 N. WASHINGTON ST, ROUND TOP, TX 78954
ROUND TOP STATE BANK 8681 HWY 77, LEXINGTON, TX 78947
Registered with this firm since 6/12/2012
Previous Registration(s)
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IA
 11/15/2010 - 11/22/2011 EDWARD JONES (CRD#:250) SAN ANTONIO, TX
B
 11/01/2010 - 11/22/2011 EDWARD JONES (CRD#:250) SAN ANTONIO, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.