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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-06-28 |
| CA | RA | APPROVED | 2019-08-05 |
Branch Locations
427 Yale Avenue Ste. 102, Claremont, CA 91711 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Am Distributors, Inc. | Chicago | IL | 03/2018 | 06/2019 |
| Crossroads Capital Distributors | Newport Beach | CA | 09/2016 | 04/2018 |
| Lpl Financial Llc | Claremont | CA | 07/2019 | Present |
1) 07/2019 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - THIESEN DUEKER FINANCIAL CONSULTING GROUP - 100% - INVESTMENT RELATED - CLAREMONT, CA 91711 2) 06/12/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 03/14/20023 - 1 Hour Per Month/ 1 Hour During Securities Trading 3) 08/21/2023 - Thiesen Dueker Modern Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/09/2023 - 160 Hours Per Month/ 40 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-08-01 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-11 |
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