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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-05-18 |
| TX | RA | APPROVED_RES | 2023-05-15 |
Branch Locations
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 |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 02/2016 | 05/2023 |
| Sigma Planning Corporation | Ann Arbor | MI | 02/2016 | 05/2023 |
| Lpl Financial Llc | Rockford | IL | 05/2023 | Present |
1. 05/18/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 06/07/2023 - Immanuel Lutheran Church - Not Investment Related - East Dundee, IL - Pastor - Start Date 10/17/2018 - 4 Hours Per Month/ 0 Hours During Securities Trading - Time Spent 0%
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-28 |
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