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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-09 |
| WA | RA | APPROVED | 2005-08-25 |
Branch Locations
Our Community Federal Cu 306 S 7Th St, Elma, WA 98541 • United States
2948 Olympic Hwy North, Shelton, WA 98584 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Shelton | WA | 02/2004 | Present |
1) 12/08/2008: COMMUNITY FINANCIAL CENTER - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s) 2) 07/12/2015: Our Community Credit Union - For-Profit Board Member - NOT INV REL - 526 W Cedar St, Shelton, WA 98584 - Started 08/01/2015 - Board position for Our Community Credit Union. There are 7 board members, majority vote is required, this is not a public company, no capital is being raised, not providing investment advice to the board. I am the Registered Rep that serves the depositor base, I am not an employee or founder of the credit union. - 6 Hr/Mo; 0 Hours During Securities Trading 3) 9/10/2021 - UpCoast LLC - Not Investment Related - Address/Location: Various - Business Entity For Tax/Investment Purposes Only - 10 Hours Per Month/0 Hours During Securities Trading. 4) 10/28/2021 - UpCoast Wealth LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/03/2022 - 25 Hours Per Month/1 Hour During Securities Trading. 5) 09/20/2023 - No Business Name - Real Estate Rental - Investment Related - Tumwater, WA - Start Date: 10/01/2023 - 5 Hours Per Month/0 Hours During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-08-03 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-24 |
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