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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-10-04 |
| CA | RA | APPROVED | 2009-04-07 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | San Diego | CA | 04/2009 | Present |
1. 3/17/2009 - OTHER-BUSINESS ENTITY FOR ACCOUNTING PURPOSES - FINLEY CAPITAL MANAGEMENT - CORPORATION ESTABLISHED AS A TAX SHELTER. NOT HELD OUT TO THE PUBLIC. - TAX CORP. 2. 3/17/2009 - OTHER-BUSINESS ENTITY FOR ACCOUNTING PURPOSES - NEW SENTRY CAPITAL MANAGEMENT, LLCFOR LIABILITY PURPOSES. NOT HELD OUT TO THE PUBLIC. - SHELL ACCOUNT - 1% OF TIME SPENT. 3. 1/25/2012 - MORTGAGE BROKERAGE SERVICES - HOME AND LOAN FINDERS - PURCHASE AND REFINANCE MORTGAGES THROUGH HOME AND LOAN FINDERS. - 10% OF TIME SPENT. 4. 04/29/2013 - Fielder Finley Wealth Management - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 5. 02/03/2016 - Newell Wealth Management - INV REL - 6310 Greenwich Dr., Ste 150, San Diego, CA 92122 - DBA for LPL Business (entity for LPL business) - START 03/01/2013 - DBA strictly for LPL Business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-03-02 |
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