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2242 Mt. Zion Road, Jonesboro, GA 30236 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2023-08-03 |
Branch Locations
2 disclosure categories 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 | Jonesboro | GA | 07/2004 | Present |
| Captial And Planning, Llc | Jonesboro | GA | 07/2023 | Present |
1. 11/03/2015 * Buckhead Brokerage Group * Non-Variable Insurance * inv rel * at reported business location. * start 10/12/2015 * 5 hrs/mo during secs trdg hrs. 2. 04/06/2016 * SES Wealth Management * Business Entity For Tax/Investment Purposes Only * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 03/03/2008 *LPL commission and Fee Revenue * 0 HRS/MO. 3. 07/26/2023 - CAPITAL AND PLANNING LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid- IAR - Start Date 04/26/2022 - 170 Hours Per Month/ 170 Hours During Trading - I provide investment advisory services through CAPITAL AND PLANNING LLC, an independent investment advisor firm. I started this business activity in 04/2022. I expect to spend approximately 170 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 08/17/2023 - Capital and Planning LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date 07/20/2023 - 170 Hours Per Month/ 170 Hours During Trading - Registered Investment Advisor DBA - I provide investment advisory services through Capital and Planning LLC, an independent investment advisor firm. I started this business activity in 07/2023. I expect to spend approximately 170 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-08-24 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-20 |
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