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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 |
Branch Locations
1021 Lake Havasu Ave N Ste 102, Lake Havasu City, AZ 86403 • United States
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 |
|---|---|---|---|---|
| Lpl Financial Llc | Lake Havasu City | CA | 11/2010 | Present |
1. 11/02/2010 - Haynes Investment Management - INV REL - Non-Variable Insurance DBA - 1% TIME SPENT - Fixed insurance sales - annuities, whole life, term & LTC 2. 11/1/2018 - John Marshall and Associates - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:10/29/2018 - 100 Hours Per Month/4 Hours During Trading. 3. 3/22/2019 - HSG Investment Center - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 03/08/2019 - 2 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-01-13 |
| S63 | Uniform Securities Agent State Law Examination | 2001-05-09 |
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