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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2025-06-05 |
| TX | RA | APPROVED_RES | 2025-06-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Financial West Group | Westlake Village | CA | 08/2002 | 08/2017 |
| Western International Securities, Inc. | Pasadena | CA | 08/2017 | 06/2025 |
| Lpl Financial Llc | Omaha | NE | 06/2025 | Present |
1- 06/2025 - Asset Strategies - Non-Variable Insurance/Insurance Agency - Investment Related - At Reported Business Location(s) - Start Date 06/07/2025 - 160 hours per month/ 140 hours during trading 2- 06/2025 - Ridgeway Properties, LLC - Real Estate Rental - Investment Related - Plattsmouth, NE - Start Date 01/01/2018 - 2 hours per month/ 0 hours during trading 3- 06/2025 - Uprising Bakery, LLC - Business Owner - Investment Related - Omaha, NE - Start Date 01/01/2019 - 5 hours per month/ 0 hours during trading 4- 06/2025 - Widick Hoeft and Associates - Real Estate Rental - Investment Related - Omaha, NE - Start Date 01/01/2016 - 5 hours per month/ 0 hours during trading 5- 06/2025 - Asset Strategies - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/07/2025 - 160 hours per month/ 140 hours during trading 6- 01/05/2026 - Asset Strategies Tax & Accounting - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 01/01/2026 - 5 hours per month/ 2 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-03-09 |
| S63 | Uniform Securities Agent State Law Examination | 1999-09-15 |
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