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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OK | RA | APPROVED | 2025-12-23 |
| TX | RA | APPROVED | 2009-05-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Mcallen | TX | 05/2009 | Present |
1. 03/17/2009 - Boy Scouts of America - NOT INV REL - Community, Civic and Charitable Board - Assistant Scoutmaster - No custody or control - 10% TIME SPENT 2. 10/30/2015 - Independent Wealth Consultants * DBA for LPL Business (entity for LPL business) * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 10/01/2015 3. 12/14/2015 - Texas State Guard 3rd Bn, 1st Rgt - NOT INV REL - Texas Army National Guard Armory 1100 Vo-Tech Dr, Weslaco, TX 78596 - Non-Profit Board Member - START 06/01/2007 - 14 HOURS PER MONTH - I volunteer as a Staff Sergeant E-6 in the Texas State Guard
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-05-26 |
| S63 | Uniform Securities Agent State Law Examination | 1988-05-16 |
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