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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-03-18 |
| TX | RA | APPROVED | 2025-03-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Yuma | AZ | 10/2014 | 03/2020 |
| Ameriprise Financial Services, Llc | Yuma | AZ | 03/2020 | 01/2025 |
| Lpl Financial | Yuma | AZ | 03/2025 | Present |
1- 03/2025 / 4W LLC / Business Entity For Tax/Investment Purposes Only / NON INV / START 12/05/2006 2- 03/2025 / MFAT Investments LLC / Business Entity For Tax/Investment Purposes Only / NON INV / 1 HRS MNTHS / 1 HRS DURING TRADING / START 01/01/2006 3- 03/2025 / Butler Estates LLC / Business Entity For Tax/Investment Purposes Only / NON INV / START 01/26/2022 4- 03/2025 / Whitkee Inc. / Business Entity For Tax/Investment Purposes Only / NON INV / 10 HRS MNTH / 2 HRS DURING TRADING / START 01/01/1997 5- 03/2025 / Wealthcare Alliance LLC / Business Entity For Tax/Investment Purposes Only / NON INV / START 03/01/2003 6- 03/2025 / Valley pint LLC / Business Entity For Tax/Investment Purposes Only / NON INV / START 03/20/2024 7- 03/2025 / PKW Investments Inc / Business Entity For Tax/Investment Purposes Only / NON INV / START 02/15/1996 8- 03/2025 / Tam LLC / REAL ESTATE RENTAL / INV RLTD / LOC YUMA, AZ / START 10/18/2000 9- 03/2025 / Walnut Acres LLC / REAL ESTATE RENTAL / INV RLTD /2 HRS MNTH / LOC YUMA, AZ / START 04/01/2014 10- 03/2025 / Main Street Pint LLC / Business Entity For Tax/Investment Purposes Only / NON INV / START 05/02/2024 11- 03/2025 / The Pint House LLC / BUSINESS OWNER / NON INV RLTD / 5 HRS MNTH / START 12/04/2013 12- 03/2025 / River Cats LLC / Real Estate Rental / INV RLTD / 2 HRS MNTH / 1 HRS DURING TRADING / LOC-YUMA, AZ / START 12/07/2006 13- 03/2025 / Wyant Bock Legacy Trust / Act in a Fiduciary Capacity / INV RLTD / 5 HRS MNTH / 5 HRS DURING TRADING / START 07/03/2018 14- 03/2025 / Misenhimer Aivazian & Tennant / Business Entity For Tax Prep/Accounting/CPA / INV RLTD / 160 HRS MNTH / 40 HRS DURING TRADING / START 08/01/1998 15 - 03/2025 / Melissa Cellend Testamentary Trust / Act in a Fiduciary Capacity / INV RLTD / 1 HRS MNTH / START 03/20/2014 16- 03/2025 / Russ and Janet Jones Legacy Trust / Act in a Fiduciary Capacity / INV RLTD / 1 HRS MNTH / 1 HRS DURING TRADING / START 12/01/2008 17- 03/2025 / Earl Roberts Legacy Trust / Act in a Fiduciary Capacity / INV RLTD / 1 HRS MNTH / 1 HRS DURING TRADING / START 12/01/2008
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-06 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-26 |
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