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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-03-04 |
| TN | RA | APPROVED | 2024-03-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Private Client Services, Llc | Louisville | KY | 07/2004 | 03/2024 |
| Woodbury Financial | Knoxville | TN | 07/2004 | 01/2024 |
| Osaic Wealth, Inc. | Knoxville | TN | 01/2024 | 03/2024 |
| Lpl Financial Llc | Knoxville | TN | 03/2024 | Present |
1) 02/2024 - Worden, Rechenbach, Brooke / Real Estate Rental / Co-owner / Inv. Related / 37902, TN / Start date 06/01/2024 - 0Hrs per month - 5% Time Spent 2) 02/2024 - David Brooke / Non-Variable Insurance / Inv. Related / KNOXVILLE TN / Start date 03/01/2024 - 8Hrs per month - 5% Time Spent - 2 Hrs during Trading 3) 02/2024 - Worden, Rechenbach, and Brooke / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 95% Time Spent
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-02 |
| S63 | Uniform Securities Agent State Law Examination | 1996-12-03 |
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