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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2019-08-01 |
Branch Locations
6995 S Union Park Ctr Ste 300, Cottonwood Heights, UT 84047 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Company | Salt Lake City | UT | 03/2001 | 07/2019 |
| Mml Investors Services Llc | Salt Lake City | UT | 03/2014 | 07/2019 |
| Lpl Financial, Llc | Cottonwood Heights | UT | 07/2019 | Present |
1. 7/30/2019 - Intermountain Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/2005. 2. 4/17/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/01/2010 - 1 Hour Per Month During Securities Trading - Group Health Insurance sales and consulting. 3. 5/19/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 07/01/2019 - 5 Hours Per Month During Securities Trading - Licensed Life Insurance broker, selling and servicing life, disability income and long term care insurance. 4. 12/15/2022 - NJWoodward, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 12/14/2022 - 40 Hours Per Month/40 Hours During Securities Trading 5. 09/20/2023 - Other - Athletics - Tennis umpire for high school, college and amateur tennis - Not Investment Related - Utah - Start Date 08/01/2023 - 2 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 2014-06-30 |
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