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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-09-15 |
| TX | RA | APPROVED | 2025-09-15 |
Branch Locations
4 Rosell Dr Ste 100, Ballston Lake, NY 12019 • United States
4 Rosell Dr Ste 100, Ballston Lake, NY 12019 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Norhtwestern Mutual Life Ins. Co. | Milwaukee | WI | 08/1996 | 09/2025 |
| Northwestern Mutual Investment Services, Llc | Latham | NY | 08/1996 | 09/2025 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2007 | 09/2025 |
| Lpl Financial | Ballston Lake | NY | 09/2025 | Present |
07/01/25 - Tennant Financial - DBA for LPL Business (entity for LPL business) Investment Related - Ballston Lake, NY 12019 - OBA Start Date 10/15/2010 - Hours Per Month 160 - Time Spent 5 07/01/25 - TBW Holdings, LLC - Business Entity For Tax/Investment Purposes Only - Not Invesment Related - Ballston Lake, NY 12019 - OBA Start Date 01/01/2024 - Hours Per Month 120 - Time Spent 95 09/03/25 - Tennant Financial - Non-Variable Insurance - Investment Related - Ballston Lake, NY 12019 - OBA Start Date 09/15/2025 - Hours Per Month 4 - Time Spent 1
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-28 |
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