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Advisor at LPL FINANCIAL LLC
HOUSTON, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | Bd affiliated wealth | Aug 19, 2026 | n/a | yes | HOUSTON, TX | Current employment |
| CHARLES SCHWAB & CO., INC. | National bd RIA | Nov 12, 2018 | Dec 18, 2024 | no | Webster, TX|Houston, TX | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Feb 5, 2018 | Aug 29, 2018 | no | HOUSTON, TX|DICKINSON, TX|DICKINSON, TX|LEAGUE CITY, TX|FRIENDSWOOD, TX|HOUSTON, TX | Previous registration |
| CAPITAL ADVISORS, INC. | Former SEC adviser | Nov 10, 2014 | Nov 17, 2017 | no | LEAGUE CITY, TX|TULSA, OK|Houston, TX | Previous registration |
| SOUTH TEXAS MONEY MANAGEMENT, LTD. | Former SEC adviser | Sep 26, 2013 | Jul 14, 2014 | no | SAN ANTONIO, TX | Previous registration |
| CHARLES SCHWAB & CO., INC. | National bd RIA | Sep 16, 1999 | Apr 1, 2009 | no | SAN ANTONIO, TX|San Antonio, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CHARLES SCHWAB & CO., INC. | LPL FINANCIAL LLC | Dec 18, 2024 | Aug 19, 2026 | 609 | Firm change after gap | Ibd to ibd |
| LPL FINANCIAL LLC | CHARLES SCHWAB & CO., INC. | Aug 29, 2018 | Nov 12, 2018 | 75 | Firm change | RIA to ibd |
| CAPITAL ADVISORS, INC. | LPL FINANCIAL LLC | Nov 17, 2017 | Feb 5, 2018 | 80 | Firm change | Other |
| SOUTH TEXAS MONEY MANAGEMENT, LTD. | CAPITAL ADVISORS, INC. | Jul 14, 2014 | Nov 10, 2014 | 119 | Firm change | Other |
| CHARLES SCHWAB & CO., INC. | SOUTH TEXAS MONEY MANAGEMENT, LTD. | Apr 1, 2009 | Sep 26, 2013 | 1,639 | Firm change after gap | Other |