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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-09-04 |
| UT | RA | APPROVED | 2012-12-18 |
Branch Locations
6995 Union Park Ctr Ste 320, Midvale, UT 84047 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Salt Lake City | UT | 12/2012 | Present |
(1) 11/12/2012 - WC Administrators - TPA - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - Administrator-oversee daily activities - 25% TIME SPENT (2) 11/12/2012 - NO BUSINESS NAME - DBA for LPL Business (entity for LPL business) - Wagstaff & Crawford - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - 50% TIME SPENT (3) 12/02/2013 - Wagstaff & Crawford - Non-Variable Insurance - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - Insurance Sales - 10% TIME SPENT
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1988-06-08 |
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