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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-02-10 |
| TX | RA | APPROVED | 2026-02-09 |
Branch Locations
500 E. Rio Salado Pkwy Building 4, Floor 3, Tempe, AZ 85281 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jake Uhlenhopp | Tempe | AZ | 01/2010 | Present |
| Ben Miller | Phoenix | AZ | 05/2017 | 01/2018 |
| Northwestern Mutual Investment Services Llc | Phoenix | AZ | 07/2017 | 12/2018 |
| Ben Miller | Phoenix | AZ | 01/2018 | 07/2018 |
| Kevin Mazur | Phoenix | AZ | 08/2018 | 12/2018 |
| R Sarnecki | Leawood | KS | 11/2020 | 12/2023 |
| Northwestern Mutual Investment Services Llc | Leawood | KS | 11/2020 | 12/2023 |
| Lpl Financial Llc | San Diego | CA | 12/2023 | Present |
1) 12/2023- Jake Uhlenhopp- Outside/W-2 Employment /Sports Officiating - Non-Inv. Related- Tempe, AZ - start date 1/1/2010- 40hr/mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-02-06 |
| S63 | Uniform Securities Agent State Law Examination | 2017-10-03 |
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