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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2017-11-29 |
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 |
|---|---|---|---|---|
| National Planning Corporation | Chattanooga | TN | 10/2009 | 11/2017 |
| Lpl Financial Llc | Chattanooga | TN | 11/2017 | Present |
1. 11/29/2017 - TSSAA (Tennessee Secondary School Athletic Association) - Not Investment Related - various locations - Outside/W-2 Employment - Football Referee - 25 Hours Per Month. 2. 11/29/2017 - Queen Financial Services Corporation - Not Investment Related - At Reported Business Location(s) - Producing Rep - Start Date 10/27/2009 - active L&H license and services existing clients/ markets new clients for fixed insurance products in conjunction with financial duties. 3. 11/29/2017 - ALDER & COX INSURANCE AGENC - Investment Related - STE 406, CHATTANOOGA, TN - Insurance Agency - Producing Rep - Start Date 12/15/2009 - 30 Hours Per Month/10 Hours During Securities Trading - WRITING AUTO,HOME,& COMERCIAL INSURANCE. 4. 6/8/2018 - First Protective - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life Insurance Agent - Start Date: 06/01/2018 - 1 Hour Per Month/0 Hours During Securities Trading - Selling term insurance. 5. 1/30/2020 - Queen Financial Services Corporation - DBA: Queen Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/01/2017 - 40 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-12-02 |
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