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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-10 |
| CA | RA | APPROVED | 2024-09-09 |
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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Santa Rosa | CA | 05/2012 | 09/2024 |
| Lpl Financial | Santa Rosa | CA | 09/2024 | Present |
1- 08/2024 / Desward Peak Partners LLC / Business Entity For Tax/Investment Purposes Only / Non Inv Rltd / 200 hrs mnth / 8 hrs during trading / start 01/01/2022 2- 08/2024 / Apex Private Wealth Advisors / DBA for LPL Business (entity for LPL business) / Inv Rltd / 160 hrs mnth / 8 hrs during trading / start 01/01/2022
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-12-18 |
| S63 | Uniform Securities Agent State Law Examination | 2001-11-26 |
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