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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2021-11-02 |
| CA | RA | APPROVED | 2009-05-13 |
Branch Locations
20860 N Tatum Blvd, Ste 195, Phoenix, AZ 85050 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Chico | CA | 05/2009 | Present |
1. 3/3/2020 - Asset Management Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 05/01/2020 - 120 Hours Per Month/100 Hours During Securities Trading. 2. 07/19/2022 - SMurray Enterprises LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 06/27/2022 - 0 Hours Per Month/0 Hours During Securities Trading. 3. 09/14/2022 - BDC group - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Partner - Start Date - 01/01/2021 - 2 Hours Per Month/0 Hours During Securities Trading 4. 10/31/2023 - FocalPoint Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/05/2023 - 40 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 1996-11-15 |
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