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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-01-07 |
| NC | RA | APPROVED | 2009-12-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Raleigh | NC | 12/2009 | Present |
1. 12/18/2009 - H&M Financial Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 2/1/2018 - East Wake Academy - Not Investment Related - Zebulon, NC - Other-baseball coach - Start Date 02/01/2018 - 15 Hours Per Month/0 Hours During Securities Trading - High school assistant baseball coach at son's school, East Wake Academy, Zebulon, NC 27597.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-02 |
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