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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-08-25 |
Branch Locations
1200 Summit Ave Ste 502, Ft. Worth, TX 76102 • 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 | Fort Worth | TX | 08/2015 | Present |
1. 08/24/2015 - CAPROCK WEALTH ADVISORS, LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ FORT WORTH, TX 2. 12/09/2015 * Highland Captial Brokerage * Non-Variable Insurance * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 12/01/2015. 3. 10/3/2019 - SIMPLICITY LIFE - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/01/2019 - 5 Hours Per Month/0 Hours During Securities Trading. 4. 01/26/2024 - LIBERTY BANKERS INSURANCE GROUP - Non-Variable Insurance - Licensed Agent - Investment Related - At Reported Business Location(s) - Start Date 01/10/2024 - 5 Hours Per Month/ During Trading 5. 08/20/2024 - Thirteen Twenty-Two Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/01/2024 - 160 Hours per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-18 |
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