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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2019-12-09 |
| CA | RA | APPROVED | 2019-06-03 |
Branch Locations
390 E Congress Pkwy Ste 390-E, Crystal Lake, IL 60014 • United States
New River, AZ • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Securities America Inc. | Crystal Lake | IL | 06/2000 | 05/2019 |
| Securities America Advisors | Crystal Lake | IL | 12/2013 | 05/2019 |
| Lpl Financial, Llc | New River | AZ | 05/2019 | Present |
1. 6/6/2019 - Professional Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 6/3/19. 2. 6/6/2019 - PWA - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 6/3/19. 3. 6/6/2019 - DORION-GRAY FINANCIAL SERVICES INC - Investment Related - 101 W. Liberty Street, #301, Barrington, Il 60010 - Business Entity For Tax/Investment Purposes Only - Partner - Started 2001.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-01-08 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-13 |
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