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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-05-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | San Francisco | CA | 01/2001 | Present |
1. 10/24/2005 - INDEPENDENT INSURANCE AGENT SELLING FIXED INSURANCE PRODUCTS. 2. 02/21/2017 - Valley Oak Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/04/2016 - 120 Hours Per Month/5 Hours During Securities Trading. 3. 6/2/2017 - Valley Oak Tax Advantage - Not Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Receptionist - Started 01/01/2017 - 2 Hours Per Month/0 Hours During Securities Trading. 4. 12/26/2024- Roaring Fork Wealth Management- Business Entity For Tax/Investment Purposes Only- Not INV Related- At Reported Business Location(s)- Start date 12/08/2024- 2 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-05-11 |
| S63 | Uniform Securities Agent State Law Examination | 2005-10-22 |
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