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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
| TX | RA | APPROVED | 2009-07-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Poughkeepsie | NY | 07/2009 | Present |
(1) 07/02/2009 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 5% - WHOLE LIFE, UNIVERSAL LIFE, TERM LIFE, LTC, HEALTH, DI. (2) 12/29/2016 - DSL Financial Services- Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 01/03/2017 - 160 Hours Per Month/8 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1996-09-20 |
| S65 | Uniform Investment Adviser Law Examination | 1996-09-20 |
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