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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2026-07-31 |
| NY | RA | APPROVED | 2021-07-11 |
| TX | RA | APPROVED_RES | 2010-04-29 |
Branch Locations
Princeville, HI • United States
New York, NY • United States
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 |
|---|---|---|---|---|
| Lpl Financial Llc | Princeville | HI | 01/2009 | Present |
1. 5/26/2015 - No Business Name - REAL ESTATE RENTAL - INV REL - 297 WEST 12TH STREET, APT 3-B - START 03/25/15 - 1 Hours Per Month/0 Hours During Securities Trading - Rents apartment and receives rental income. 2. 6/23/2016 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Start 05/22/2016 - 1 Hour Per Month - Notarizing LPL Document for clients on a need basis. 3. 10/27/2016 - No Business Name - Real Estate Rental - Investment Related - 297 WEST 12TH STREET, APT 3-B, NEW YORK, NY 10014-1849 - Start 12/08/2016 - 4 Hr/Mo; 1 Hour(s) During Securities Trading. 4. 7/17/2018 - Kauai Kahuna vacation rentals - Not Investment Related - 4141 Lei O Papa Road, # 37, Princeville HI 96722 - Real Estate Rental - Start Date: 06/01/2018 - 0 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-09-14 |
| S63 | Uniform Securities Agent State Law Examination | 1989-09-05 |
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