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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2020-04-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nicklas Financial Companies, Inc. | Jefferson City | MO | 08/1998 | Present |
| Securities America Inc. | Jefferson City | MO | 08/2005 | 04/2020 |
| Securities America Advisors, Inc | Jefferson City | MO | 01/2007 | 04/2020 |
| Lpl Financial, Llc | Jefferson City | MO | 04/2020 | Present |
1. 4/30/2020 - Nicklas Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 2000 - 10 Hours Per Month - Time Spent 1%. 2. 4/30/2020 - NICKLAS FINANCIAL - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 08/15/1998 - 150 Hours Per Month/120 Hours During Securities Trading - Time Spent 100%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 1996-09-11 |
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