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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-09-21 |
Branch Locations
234 E. North St., Albemarle, NC 28001 • United States
236 Market St Ste 230, Locust, NC 28097-9438 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
236 Market St Ste 230, Locust, NC 28097-9438 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Albemarle | NC | 05/2009 | 11/2016 |
| Lpl Financial Llc | Albemarle | NC | 09/2022 | Present |
| Wells Fargo Clearing Services Llc | Albemarle | NC | 11/2016 | 08/2022 |
1)08/19/2022 - Gladstone Wealth Partners - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)08/19/2022 - Andy Rose Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 3)11/03/2023 - No Business Name - Inv-Related - Charlotte, NC - Other - Ticket Reseller - Started: 11/03/2023 - 25 Hrs/Mo; 0 Hrs During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-30 |
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