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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2022-10-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services, Llc | Milwaukee | WI | 08/2017 | 10/2020 |
| City Of Racine | Racine | WI | 02/2009 | 07/2017 |
| Village Of Wind Point Police Department | Racine | WI | 06/2016 | Present |
| Milwaukee County Sheriff's Office | Milwaukee | WI | 09/2021 | 10/2022 |
| Old National Bank | Milwaukee | WI | 11/2020 | Present |
| Lpl Financial | Milwaukee | WI | 10/2022 | Present |
1) 10/20/2022 - WIND POINT POLICE DEPARTMENT, NOT INV RELATED, 0 % during trading hours: Hours per month: 50 hours a month - START 06/2016. 2) 10/20/2022 - Old National Bank- Financial Institution Duty - Inv Rel - At report business location(s)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-01-03 |
| S65 | Uniform Investment Adviser Law Examination | 2005-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-08 |
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