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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-05-31 |
| UT | RA | APPROVED | 2008-02-19 |
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Holladay | UT | 09/2007 | Present |
| Mountain America Credit Union | Holladay | UT | 01/2005 | Present |
1. 09/10/2007: MOUNTAIN AMERICA INSURANCE SERVICES, INC. - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - 5% OF TIME SPENT - SELL FIXED PRODUCTS INCLUDING FIXED ANNUITIES AND WHOLE & TERM LIFE 2. 03/26/2008: NO BUSINESS NAME - ACT IN A FIDUCIARY CAPACITY - 5% OF TIME SPENT - TRUSTEE OF MY FAMILY TRUST 3. 11/1/2019 - Mountain America Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/31/2019 - 40 Hours Per Month/40 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-17 |
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