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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2017-11-29 |
| NE | RA | APPROVED | 2017-11-29 |
Branch Locations
114 North Main Street, Stuart, NE 68780 • United States
702 E Douglas, O'NEill, NE 68763 • United States
103 W Hwy 20, Bassett, NE 68714 • United States
807 Ash St, Atkinson, NE 68713 • United States
510 Thayer St, Butte, NE 68722 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Tri-County Bank (Ba) | Stuart | NE | 12/2010 | Present |
| Investment Centers Of America, Inc. | Stuart | NE | 07/2014 | 11/2017 |
| Lpl Financial Llc | Stuart | NE | 11/2017 | Present |
1. 11/29/2017 - CBI, INC - Not Investment Related - Ainsworth, NE - Real Estate Rental - President/Owner. 2. 11/29/2017 - THE TRI-COUNTY BANK - Investment Related - At Reported Business Location(s) - Financial Institution Duty - PRESIDENT & CEO. 3. 11/29/2017 - CWS ADVISORY & INVESTMENTS - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - 8 Hours Per Month - Life, LTC. 4. 3/3/2021 - InSource - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/30/2020 - 5 Hours Per Month During Securities Trading. 5. 03/03/2022 - The Tri-County Bank - DBA: TCB Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/01/2022 - 40 Hours Per Month/40 Hours During Securities Trading. 6. 05/26/2022 -TRI-COUNTY COMPANY - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date - 12/30/2021 - 30 Hours Per Month/ 25 Hours During Securities Trading. 7. 3/10/2023 - Butte State Bank - Not Investment Related - 510 Thayer St Butte, NE 68722 - For-Profit Board Member - Butte State Bank Board of Director - Start Date - 01/01/2018 - 3 Hours Per Month/3 Hours During Securities Trading 8. 3/30/23 - COMMUNITY WEALTH SPECIALISTS, LLC - Investment Related - At Reported Business Location(s) - Financial Institution Duty - MEMBER / MANAGER OF INSURANCE AGENCY - Start Date - 01/03/2011 - 5 Hours Per Month/5 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-08-14 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-10 |
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