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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-08-16 |
| KS | RA | APPROVED | 2017-11-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Centers Of America, Inc. | Beloit | KS | 06/1994 | 11/2017 |
| Lpl Financial Llc | Beloit | KS | 11/2017 | Present |
1. 10/10/2017 - Dennis & Glenda Shoemaker Farm - Not Investment Related - 270 Hwy 128, Glen Elder, KS 67446 - Other Farm/Ranch - OWNER - Start Date 1990 - BUILDING SITE IS RENTED OUT. 2. 10/11/2017 - THE GUARANTY STATE BANK & TRUST CO. INC. - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Dual employed through his bank and this is his Senior Vice President title. 3. 10/11/2017 - GUARANTY STATE BANK - Investment Related - At Reported Business Location(s) - Financial Institution Duty - SERVICE REPRESENTATIVE - SERVICE REPRESENTATIVE PROVIDING LOCAL SERVICE FOR BOLI PROGRAM AT GUARANTY STATE BANK - Help bank employees understand Bank Owned Life Insurance (BOLI) for employee benefits. No compensation is made. 4. 10/11/2017 - THE GUARANTY STATE BANK & TRUST CO. INC. - Investment Related - At Reported Business Location(s) - Financial Institution Duty - BANK OFFICER AND MEMBER OF LOAN COMMITTEE - Dual employed through his bank and supports the loan committee by overseeing approval of loans. 5. 10/11/2017 - THE GUARANTY STATE BANK & TRUST CO. INC. - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Banks Investment Committee - Dual employed through his bank and supports the committee by overseeing the banks portfolio which consist of Bonds and all bank Assets. 6. 10/11/2017 - THE GUARANTY STATE BANK & TRUST CO. INC. - Investment Related - At Reported Business Location(s) - Financial Institution Duty - ASSOCIATE DIRECTOR ON THE BOARD OF DIRECTORS - Member of the banks Board of Directors as the Associate Director and reports revenue. 7. 11/16/2017 - GSB Financial Resource Center Investment & Insurance Services - DBA: GSB Financial Resource Center - Other. 8. 1/22/2020 - SBG, ICAG, United Life, Guaranty State Bank & Trust Co Insurance Agency - DBA: GSB Financial Resource Center - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Licensed Agent - Started 10/25/2019 - 30 Hours Per Month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 1988-01-15 |
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