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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2025-05-15 |
| TX | RA | APPROVED_RES | 2025-05-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hantz Financial Services, Inc. | Midland | MI | 06/2001 | 09/2017 |
| Thumb Bank & Trust | Bay City | MI | 09/2017 | Present |
| Sorrento Pacific Financial, Llc | San Diego | CA | 09/2017 | 05/2025 |
| Lpl Financial Llc | Bay City | MI | 05/2025 | Present |
1. 3/12/2025: MAR Opportunity LLC; Bay City, MI; Other: Business Owner; auto repair facility owned jointly w/Husband. No role in operations; Not inv. related; start date 9/30/2015; 0hrs/mo.; 0hrs during. 2. 08/21/2025 - Thumb Investment Services - DBA for LPL Business (entity for LPL business) - At reported business location(s) - Inv Rel - Start date: 01/05/2025 - 160hours per month during Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-06 |
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