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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-05 |
| MO | RA | APPROVED | 2017-03-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Carthage | MO | 09/2006 | Present |
1. 07/16/2013 - OTHER-FOR ACCOUNTING PURPOSES ONLY - CARTHAGE WEALTH ADVISORS - TAX ENTITY - 1% OF TIME SPENT - CARTHAGE, MO.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 2006-10-18 |
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