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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-07-21 |
| IL | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Westmont | IL | 09/2015 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Westmont | IL | 10/2015 | 07/2021 |
| Rbcn James Incorporated | Hinsdale | IL | 05/2017 | 07/2021 |
| Lpl Financial Llc | Westmont | IL | 07/2021 | Present |
1) 2018 - Etiquette Financial Partners / DBA for LPL Business (entity for LPL business) / Investment Related / 0 HR / MO / 900 Oakmont Lane, Suite 105 Westmont, IL 60559 2) 2018 - RBCN James Incorporated / Business Entity For Tax/Investment Purposes Only / Not Investment Related / 0 HR / MO / 513 n elm, Hinsdale
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-06 |
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