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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-01-21 |
| CO | RA | APPROVED | 2025-01-21 |
| SC | RA | APPROVED | 2025-01-21 |
| TX | RA | APPROVED_RES | 2018-10-16 |
| AZ | RA | APPROVED | 2018-02-14 |
| IL | RA | APPROVED | 2018-02-14 |
| IN | RA | APPROVED | 2018-02-14 |
| KS | RA | APPROVED | 2018-02-14 |
| MA | RA | APPROVED | 2018-02-14 |
| OH | RA | APPROVED | 2018-02-14 |
| PA | RA | APPROVED | 2018-02-14 |
| SD | RA | APPROVED | 2018-02-14 |
Branch Locations
55 W 94Th Pl, Crown Point, IN 46307 • United States
11030 96Th Pl, St. John, IN 46373 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Ruiz Insurance And Financial Services | Merrillville | IN | 06/1996 | Present |
| Sii Investments, Inc. | Merrillville | IN | 12/1998 | 02/2018 |
| Lpl Financial Llc | Crown Point | IN | 02/2018 | Present |
1. 02/14/2018 - Investment Related - Non-Variable Insurance - FIXED INSURANCE SALES AS A LICENSED INSURANCE AGENT. 2. 02/14/2018 - OAK PARTNERS LLC - Investment Related - Real Estate Rental - PARTNER - INVOLVED IN PERFORMING VARIOUS TASKS RELATED TO MANAGEMENT AND MAINTENANCE OF OFFICE BUILDING AND GROUNDS. 3. 02/14/2018 - OAK PARTNERS INC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 4. 06/11/2024 - JU-MR LLC - Real Estate Rental - Investment Related - 11030 96th Pl, Lot 2, St. John, IN 46373 - Start Date 04/24/2024 - 2 Hours Per Month/ 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-19 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-11 |
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