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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-03-25 |
| TX | RA | APPROVED | 2024-03-25 |
Branch Locations
275 S. Main Street, Suite 203, Longmont, CO 80501 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
275 South Main Street Suite 203, Longmont, CO 80501 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sagepoint Financial, Inc. | Phoenix | AZ | 01/2009 | 09/2023 |
| Osaic Wealth, Inc. | Longmont | CO | 09/2023 | 03/2024 |
| Lpl Financial | Longmont | CO | 03/2024 | Present |
1- 02/2024 / Rothe Financial Group, Inc / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s). 2- 02/2024 / JDR, Inc / Business Entity For Tax/Investment Purposes Only / Not Investment related / Start date: 08/15/2008 3- 02/2024 / Insurance / Non-Variable Insurance / Investment Related / 40 hrs mth / 1 hr during trading / Start date: 01/01/1999
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2003-12-18 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-20 |
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