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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AR | RA | APPROVED | 2023-03-24 |
| TX | RA | APPROVED_RES | 2021-04-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Trilogy Financial Services | Torrance | CA | 06/1998 | Present |
| Lpl Financial Llc | Lowell | AR | 11/2017 | Present |
| National Planning Corporation | Torrance | CA | 07/2001 | 11/2017 |
1. 11/29/2017 - LIFE EVENT FINANCIAL - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 07/2007. 2. 11/29/2017 - LIFE EVENT FINANCIAL - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 07/2007 - 40 Hours Per Month - Time Spent 25% - Agent - Life insurance only. 3. 11/19/2021 - Truchoice - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 04/23/2015 - 6 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-03-20 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-19 |
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