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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-07-31 |
| WY | RA | APPROVED | 2025-07-15 |
Branch Locations
1575 Dewar Dr, Ste 210, Rock Springs, WY 82901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Rock Springs | WY | 04/2002 | 01/2017 |
| Various Insurance Carriers For W & R Insurance Agencies | Rock Springs | WY | 07/2002 | 01/2017 |
| Lpl Financial, Llc | Rock Springs | WY | 01/2017 | Present |
| Financial Advocates Investment Management | Rock Springs | WY | 01/2017 | 07/2025 |
1. 01/23/2017 - FULL CIRCLE WEALTH STRATEGIES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ ROCK SPRINGS, WY. 2. 1/24/2017 - Full Circle Wealth Strategies - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 1/23/2017 - Time Spent 100%. 3. 1/24/2017 - Financial Advocates Investment Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 1/23/2017 - Time Spent 100% - I provide investment advisory services through Financial Advocates Investment Management, an independent investment advisor firm. I started this business activity in 1/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 12/3/2021 - Full Curl Enterprises, LLC - Investment Related - Home Based & 1575 Dewar Drive, Suite 210, Rock Springs, WY 82901 - Real Estate Rental - Started 11/30/2021 - 1 Hour Per Month/0 Hours During Securities Trading. 5. 05/17/2022 - NebraskaLand Financial Services, Inc. - Not Investment Related -At Reported Business Location(s) - For-Profit Board Member - Start Date - 04/01/2022 - 1 Hours Per Month/ 0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-03-23 |
| S63 | Uniform Securities Agent State Law Examination | 2002-06-22 |
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