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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-05 |
| NC | RA | APPROVED | 2007-07-23 |
Branch Locations
3701 Lake Boone Trail, Ste 302, Raleigh, NC 27607 • United States
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 |
|---|---|---|---|---|
| Lpl Financial Llc | Raleigh | NC | 07/2007 | Present |
1) 07/23/2007 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - DISABILITY, PROPERTY AND CASUALTY - 6% TIME SPENT. 2) 07/23/2007 - CECIL FINANCIAL, INC. - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION. 3) 8/3/2007 - AMERUS LIFE INSURANCE COMPANY - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - I would like to apply for a direct agent contract with Amerus Life Insurance Company. I would on be selling fixed insurance and fixed annuities - 20% TIME SPENT. 4) 9/28/2007 - LINCOLN FINANCIAL - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - WRITE DIRECT LIFE AND FIXED ANNUITY BUSINESS WITH LINCOLN FINANCIAL - TIME SPENT 10%. 5) 6/22/2009 - NO BUSINESS NAME - REAL ESTATE RENTAL - INV REL - AT REPORTED BUSINESS LOCATION - MY PARENTS, MY WIFE AND I ARE GOING TO RENT A (ONE) BEACH FRONT CONDO IN NORTH MYRTLE BEACH. MY PARENTS AND MY WIFE ARE ALL CLIENTS. WE ARE GOING TO USE A RENTAL AGENCY, SO OUR CUSTOMERS WILL BE THE GENERAL PUBLIC THAT FINDS THE UNIT THROUGH THEM - TIME SPENT 2%. 6) 03/10/2014 - CRUMP - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - Continued fixed insurance business with CRUMP. Not an officer or anything. Just a producer - 5% TIME SPENT. 7) 6/7/2021 - Carawan Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 5/17/2021 - 2 Hours Per Month/2 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 2001-11-15 |
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