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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-09-21 |
| AK | RA | APPROVED | 2009-04-03 |
Branch Locations
1000 Omalley Rd Ste 201, Anchorage, AK 99515-3083 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Anchorage | AK | 04/2009 | Present |
1. 3/25/2009 - Provisio - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 5/30/2013: No Business Name - Investment Related - Act in a Fiduciary Capacity - TIME SPENT 0% - I AM THE CONTINGENT BENEFICIARY ON MY SISTER'S VARIABLE ANNUITY. I AM THE ADVISOR OF RECORD AND HER FINANCIAL ADVISOR. 3. 12/6/2013 - AVIVA - Investment Related - OTHER-NON-VARIABLE INSURANCE TRAILS ONLY - TIME SPENT 1% - CURRENTLY OBA WITH AVIVA FOR OUTSIDE BUSINESS OF LIFE INSURANCE. AVIVA IS NOW RESTRICTED WITH LPL. NO NEW BUSINESS IS BEING ENACTED. ADVISOR WILL STILL RECEIVE TRAILS. MODIFYING OBA TO SHOW RECEIVING TRAILS WITH AVIVA ONLY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-09 |
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