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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-02-25 |
| MI | RA | APPROVED | 2023-06-16 |
Branch Locations
830 E.FRont St.#304, Traverse City, MI 49686 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 09/2012 | 06/2023 |
| Spc | Ann Arbor | MI | 09/2012 | 06/2023 |
| Lpl Financial Llc | Traverse City | MI | 06/2023 | Present |
1. 06/16/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 9/12/2012 - 160 Hours Per Month - Time Spent 95% 2. 01/09/2026 - Upstream TC LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 12/20/2024 - 150 hours per month/ 130 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-26 |
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