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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2020-07-13 |
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 |
|---|---|---|---|---|
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2016 | 06/2020 |
| Morgan Stanley | Bellevue | WA | 05/2016 | 07/2020 |
| Lpl Financial | Seattle | WA | 07/2020 | Present |
1) 07/13/2020 - OTHER - HANDYMAN - JAMES GILLINGHAM - 0% - NOT INVESTMENT RELATED - SEATTLE, WA 98126 - Started 05/2019 2) 03/02/2022 - MORTGAGE/REAL ESTATE SERVICES - JAMES GILLINGHAM - 0% - INVESTMENT RELATED - SEATTLE, WA - Started 02/2014 3) 04/25/2024 - Transformational Advisory Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 4/25/2024
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-10-11 |
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