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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-06-02 |
Branch Locations
14881 Quorum Drive, Suite 125, Dallas, TX 75254 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 03/2011 | 06/2023 |
| Spc | Ann Arbor | MI | 03/2011 | 06/2023 |
| Lpl Financial | Dallas | TX | 06/2023 | Present |
1. 05/22/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 06/28/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 6/23/2023 - 2 Hours Per Month/ 2 Hours During Securities Trading - Time Spent 2% 3. 07/28/2023 - Foras Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 08/01/2023 - 40 Hours Per Month/ 40 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-02-12 |
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