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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2021-03-17 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Centaurus Financial, Inc. | Orange | CA | 05/2004 | 03/2021 |
| Lpl Financial, Llc | Royal Oak | MI | 03/2021 | Present |
1)01/2006 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - CELTIC WEALTH MANAGEMENT GROUP, INC - INVESTMENT RELATED - ROYAL OAK, MI 48236 2)02/2021 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - CWMG, LLC - 0% - NOT INVESTMENT RELATED - ROYAL OAK, MI 48236 3)09/03/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 09/01/2021 - 2 Hours Per Month/2 Hours During Securities Trading. 4) 11/26/2021 - CWMG, LLC - Investment Related - 26080 Woodward Ave, Royal Oak, MI 48067 - Real Estate Rental - Start Date: 01/01/2021 - 1 Hour Per Month/1 Hour During Securities Trading 5) 07/15/2024 - Aquest Wealth Strategies - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/01/2024 - 2 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-22 |
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