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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-01-23 |
| VA | RA | APPROVED | 2014-02-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Vienna | VA | 10/2008 | Present |
1.02/28/2014; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Plumtree Financial, Inc.; Investment Related; at Reported Business Location(s); Start Date 02/28/2014; hrs/mth; hrs during trading 2.02/06/2018; Westwood Country Club; Other - Referral Fees; Not Investment Related; at Reported Business Location(s); Start Date 02/05/2018; 1hrs/mth; 0hrs during trading 3.06/09/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Cash Balance Konsulting; Investment Related; at Reported Business Location(s); Start Date 05/29/2025; 40hrs/mth; 20hrs during trading 4.08/20/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Cash Balance Plan Solutions; Investment Related; at Reported Business Location(s); Start Date 06/10/2025; 20hrs/mth; 10hrs during trading 5.08/20/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Cash Balance King / PeachTree Retirement Plan Solutions; Investment Related; at Reported Business Location(s); Start Date 04/25/2025; 40hrs/mth; 40hrs during trading 6.05/18/2026; Town of Vienna; Politics/ Government; Not Investment Related; Vienna,VA; Start Date 04/27/2026; 3hrs/mth; 0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-25 |
| S66 | Uniform Combined State Law Examination | 2001-02-09 |
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