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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2009-01-02 |
Branch Locations
15333 North Pima Road Suite 305, Scottsdale, AZ 85260 • United States
Chandler, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Scottsdale | AZ | 01/2009 | Present |
1. 3/5/2010: OTHER-SHELL ACCOUNT FOR TAX PURPOSES - THE OSTERKAMP COMPANY, LLC - ESTABLISHING A SINGLE-MEMBER (MYSELF) LLC IN THE STATE OF ARIZONA. CURRENTLY, THE SOLE PURPOSE OF THIS LLC IS TO BE THE COUNTERPARTY IN ANY TRANSACTIONS OR CONTRACTS THAT I ENTER INTO FOR BUSINESS PURPOSES (ALL UNRELATED TO FINANCIAL SERVICES). - TIME SPENT 3% - SCOTTSDALE, AZ. 2. 08/03/2012 - JEO Financial - IN REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 3. 10/19/2015 - NO BUSINESS NAME - INV REL - 17470 North Pacesetter Way, Scottsdale, AZ 85255 - Non-Variable Insurance - START 09/17/2015 - NO TIME SPENT - Placing business directly with Pacific Life Insurance Company for client's Term Life insurance application. 4. 3/17/2017 - LTCiPartners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/07/2017 - 1 Hour Per Month/0 Hours During Securities Trading - Long-term care. 5. 10/20/2021 - Empower - Not Investment Related - At Reported Business Location(s) - Act in a Fiduciary Capacity - Started 07/30/2012 - 1 Hour Per Month During Securities Trading - broker-of-record for a 401(k) that is provided through Great-West Retirement Services, i.e. Great-West Annuity and Life Insurance Company. (Great-West is now known as Empower.) 6. 11/5/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/04/2021 - 1 Hour Per Month During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-05-03 |
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