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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-11-14 |
| TX | RA | APPROVED_RES | 2018-02-14 |
| WI | RA | APPROVED | 2018-02-14 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Frank & Associates | Appleton | WI | 08/1998 | Present |
| Invest Financial Corp. | Tampa | FL | 10/2008 | 02/2018 |
| Lpl Financial Llc | Appleton | WI | 02/2018 | Present |
1. 02/14/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 8/12/2015 - 8 Hours Per Month/8 During Securities Trading. 2. 02/14/2018 - MURRAY AND FRANK, LLC. - Not Investment Related - W6110 AEROTECH DR, STE B, APPLETON, WI 54914 - Real Estate Rental - OWNER - Start Date 9-11-2002 - Time Spent 1%. 3. 08/08/2023 - Coastal View Wealth Management - Investment Related - At Reportable Business Location - DBA for LPL Business (entity for LPL business) - Start Date 06/14/2023 - 0 Hours Per Month 0 Hours During Trading 4. 07/13/2026 - Gateway Financial Partners - Investment Related - At Reportable Business Location - DBA for LPL Business (entity for LPL business) - Start Date 07/01/2026 - 120 Hours Per Month/ 60 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-18 |
| S63 | Uniform Securities Agent State Law Examination | 1989-08-31 |
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