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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-05-15 |
| TX | RA | APPROVED_RES | 2023-05-15 |
Branch Locations
8101 E Prentice Ave Ste 775, Greenwood Village, CO 80111 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
9380 Station Street, Suite 535, Lone Tree, CO 80124 • 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 |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 10/2014 | 05/2023 |
| Sigma Planning Corporation | Ann Arbor | MI | 10/2014 | 05/2023 |
| Lpl Financial Llc | Lone Tree | CO | 05/2023 | Present |
1. 05/18/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 06/21/2023 - Tucker Advisory Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 10/01/2014 - 8 Hours Per Month/ 2 Hours During Securities Trading - Time Spent 5%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-24 |
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