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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-12-12 |
| KY | RA | APPROVED | 2017-09-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Lexington | KY | 02/2008 | Present |
(1) 01/18/2008: NO BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - SELL INS TYPES: LIFE, HEALTH, LTC, DI, FIXED ANNUITIES (2) 07/13/2009: NO BUSINESS NAME - INV REL - 410-412 WHISPERING HILLS, LEXINGTON, KY 40517 - REAL ESTATE RENTAL - 1% OF TIME SPENT - PROPERTY CO-OWNER (3) 07/07/2015: NO BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - START 10/01/1992 - 40 HR/MO ALL DURING SECS TRDG HRS - INDEPENDENT AGENT. INS TYPES: LIFE, HEALTH, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES. (4) 5/26/2017: Moneyline Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/16/2017 - 40 Hours Per Month/35 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-09-29 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-23 |
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