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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2011-01-20 |
| TX | RA | APPROVED | 2008-03-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Scottsdale | AZ | 03/2008 | Present |
1. 03/03/2008: NON-VARIABLE INSURANCE - SALES OF FIXED INSURANCE. - SCOTTSDALE, AZ. 2. 03/03/2008: DBA ONLY - CAMELBACK WEALTH STRATEGIES, LLC - SCOTTSDALE, AZ. 3. 8/26/2020 - Wayne B. Light Custom Jewelry - Not Investment Related - 40 Soldiers Pass Road, Suite 1&2, Sedona, AZ 86336 - For-Profit Board Member - Director - Start Date: 8/10/2020 - 0 Hours Per Month/0 Hours During Securities Trading. 4. 12/8/2022 - TEAM Arizona Motorcycle Training - Not Investment Related - 36 N William Dillard Dr, Gilbert, AZ 85233 - Outside/W-2 Employment - certified Rider Coach - Start Date - 01/29/2023 - 10 Hours Per Month/0 Hours During Securities Trading 5. 09/11/2023 - The Rhonda Riva Trust - Act in a Fiduciary Capacity - Trustee - Not Investment Related - At Reported Business Location(s) - Start Date 08/07/2023 - 5 Hours Per Month/ 2 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-11 |
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