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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-12-15 |
| CA | RA | APPROVED | 2015-12-14 |
Branch Locations
465 E. Fir Ave Suite 105, Fresno, CA 93720-2975 • United States
925 Highland Pointe Dr Ste 390, Roseville, CA 95678 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Fresno | CA | 12/2015 | Present |
1. 12/20/2016 - Thiesen Dueker - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 01/01/2017 - 160 Hours Per Month/8 Hours During Securities Trading. 2. 12/20/2016 - Thiesen Dueker Financial Consulting Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 01/01/2017 - 160 Hours Per Month/8 Hours During Securities Trading. 3. 12/28/2016 - Thiesen Dueker Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 01/01/2017 - 160 Hours Per Month/8 Hours During Securities Trading. 4. 08/21/2023 - T.D. Group - Investment Related - At Reported Business Location(s) - Thiesen Dueker Modern Wealth Management DBA for LPL Business (entity for LPL business) - Start Date 08/08/2023 - 160 Hours Per Month 40 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 1989-07-28 |
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