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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-12-06 |
| CO | RA | APPROVED | 2020-09-30 |
Branch Locations
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 |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 07/2016 | 06/2017 |
| Compass Bank | Birmingham | AL | 06/2017 | 04/2018 |
| Bbva Securities Inc. | Northglenn | CO | 06/2017 | 04/2018 |
| Bbva Compass Insurance Agency, Inc | Austin | TX | 06/2017 | 04/2018 |
| Bbva Wealth Solutions Inc. | Northglenn | CO | 06/2017 | 04/2018 |
| Allstate Insurance Company | Denver | CO | 05/2018 | 09/2020 |
| Minimax Solutions Ltd. | Denver | CO | 12/2018 | 09/2020 |
| Lpl Financial, Llc | Broomfield | CO | 09/2020 | Present |
1) 9/2020 - DBA for LPL Business (entity for LPL business) - Kace Wealth Management - Investment Related - Fort Collins, CO 80525 2) 3/2017 - Real Estate Rental - Investment Related - 2502 TIMBERWOOD DR, UNIT K-59, FORT COLLINS, CO 80528 3) 9/2020 - Non-Variable Insurance - MINIMAX SOLUTIONS - Investment Related - Fort Collins, CO 80525 4) 10/28/2022 - No Business Name - Not Investment Related - At Reported Business Location(s) and Home Based - Uber - Start Date: 10/10/2022 - 5 Hours Per Month/0 Hours During Securities Trading - Provide after-hours transportation services via the Uber app. 5) 03/11/2024 - Premier Members Credit Union DBA Members Financial Services - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 2/1/2024 - 160 Hrs/Mo During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-08-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-31 |
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