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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2017-11-29 |
| MO | RA | APPROVED | 2017-11-29 |
Branch Locations
3451 St Albans Road Suite C, Saint Albans, MO 63073 • United States
Bonne Terre, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Bonne Terre | MO | 10/2007 | 11/2017 |
| Lpl Financial Llc | Bonne Terre | MO | 11/2017 | Present |
1. 11/29/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date 2000 - 1 Hours Per Month - Time Spent 1% - life insurance; LTC, term. 2. 11/29/2017 - O'NEALS TAX & FINANCIAL SERVICES INC - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - President - Start Date 2000 - 80 Hours Per Month/4 During Securities Trading - Time Spent 50%. 3. 1/31/2023 - Resource One Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/12/2023 - 10 Hours Per Month/1 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-10-30 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-27 |
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