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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2018-12-03 |
| TX | RA | APPROVED_RES | 2018-11-26 |
Branch Locations
3888 S. Sherwood Forest Blvd Bldg Iii, Ste. K, Baton Rouge, LA 70816 • United States
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 |
|---|---|---|---|---|
| First Allied Advisory Services, Inc. | Chesterfield | MO | 03/2014 | 11/2018 |
| First Allied Securities Inc. | San Diego | CA | 03/2014 | 11/2018 |
| Lpl Financial, Llc | Baton Rouge | LA | 11/2018 | Present |
1. 11/23/2018 - MK INVESTMENT PROPERTIES LLC - Investment Related - Home Based - Real Estate Rental - Owner/Partner - Started 01/01/2012 - 4 Hours Per Month - Time Spent 1%. 2. 11/23/2018 - SRS WEALTH MANAGEMENT GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/04/2014 - Time Spent 60%. 3. 11/23/2018 - SRS SCHOLARSHIP - Investment Related - At Reported Business Location(s) - Other-Scholarship - Started 01/01/2007 - 4 Hours Per Month - Time Spent 1% - COMMITTEE. 4. 11/23/2018 - AMERICAN RETIREMENT SOLUTIONS LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/31/2014 - 60 Hours Per Month - Time Spent 40%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-09-17 |
| S63 | Uniform Securities Agent State Law Examination | 2000-07-31 |
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