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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-08-15 |
| CA | RA | APPROVED | 2019-06-17 |
Branch Locations
2355 W. Pinnacle Peak Rd, Phoenix, AZ 85027 • United States
20 E. Roadrunner Drive Ste C, Sedona, AZ 86336 • United States
5200 N Hwy 89, Flagstaff, AZ 86004 • United States
825 E Butler Ave., Flagstaff, AZ 86001 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Glendale | AZ | 09/2001 | 02/2019 |
| Raymond James Financial Services, Inc. | Glendale | AZ | 02/2019 | 06/2019 |
| Raymond James Financial Services Advisors, Inc. | Glendale | AZ | 02/2019 | 06/2019 |
| Desert Financial Federal Credit Union | Glendale | AZ | 02/2019 | 06/2019 |
| Lpl Financial Llc | Phoenix | AZ | 06/2019 | Present |
| Oneaz Credit Union | Phoenix | AZ | 06/2019 | Present |
1)6/14/19-OneAZ Wealth Management- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)- 100%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-09 |
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