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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2006-10-12 |
Branch Locations
7000 Harps Mill Rd, Suite 201, Raleigh, NC 27615 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Raleigh | NC | 04/2006 | Present |
(1) 11/21/2007: CARAWAN FINANCIAL PARTNERS, INC - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION. (2) 12/19/2007: CARAWAN FINANCIAL PARTNERS - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION - use the slogan "Raleigh's Retirement Planning Specialist" for use in our collateral material, business cards, letterhead, etc - 100% TIME SPENT. (3) 10/15/2010: JASON JAKOB DANE - REAL ESTATE RENTAL - INV REL - AT REPORTED BUSINESS LOCATION - 2% TIME SPENT. (4) 02/21/2014: NO BUSINESS NAME - REAL ESTATE RENTAL - INV REL - BOAT DOCK ON A LAKE IN THE NORTH CAROLINA MOUNTAINS - TIME SPENT 1%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-21 |
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