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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2022-07-06 |
| TX | RA | APPROVED | 2017-11-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St.LOuis | MO | 03/2001 | 10/2017 |
| Lpl Financial, Llc | Houston | TX | 11/2017 | Present |
1. 11/16/2017 - STERLING PORTFOLIO MANAGERS LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ HOUSTON, TX 2. 01/16/2018 - Wellington Wealth Management Inc - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 01/11/2018 - 5 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-01 |
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