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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-22 |
| IA | RA | APPROVED | 2002-06-20 |
Branch Locations
240 3Rd Street, Parkersburg, IA 50665-7730 • United States
19 S Delaware Ave, Mason City, IA 50401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Parkersburg | IA | 06/2002 | Present |
(1) 06/25/2002: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) (2) 07/19/2002: Aspen Financial Services, Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (3) 10/04/2016: No Business Name - Other-Horses - Not Investment Related - 25252 280th St Parkersburg, IA 50665 - Start 01/01/2002 - 60 Hr/Mo; 0 Hour(s) During Securities Trading - own several young horses that are being trained and shown on national competition (4) 10/14/2016: No Business Name - Other-Farm Land - Investment Related - 25252 280th St, Parkersburg, IA 50665 - Start 01/01/2010 - 0 Hr/Mo - Own 160 acres that I rent for crop purposes. (5) 6/13/2019 - Truax Investment Company - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2007 - 160 Hours Per Month/7 Hours During Securities Trading. (6) 01/11/2023 - No Business Name - Not Investment Related - 25252 280th St Parkersburg, IA 50665 - Other-Horses - Start Date: 01/01/2002 - 60 Hours Per Month/0 Hours During Securities Trading - I own several young horses that are being trained and shown on national competitions.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-10-09 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-16 |
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