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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-10-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E.K. Riley Investments, Llc | Seattle | WA | 07/2015 | 11/2020 |
| Lpl Financial Llc | Novato | CA | 10/2020 | Present |
1)08/11/2020 - Tobler & Co. - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 11/2015 - 10 hr/mth 2)08/11/2020 - Phylos Tobler - Real Estate Rental - inv rel - Truckee, CA - start: 10/2015 - 10 hr/mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-08-09 |
| S63 | Uniform Securities Agent State Law Examination | 1988-02-23 |
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