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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-10-31 |
| TX | RA | APPROVED | 2023-10-30 |
Branch Locations
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 |
|---|---|---|---|---|
| Cambridge Investment Research Inc | Fairfield | IA | 03/2013 | 10/2023 |
| Cambridge Investment Research Advisors Inc. | Fairfield | IA | 03/2013 | 10/2023 |
| Lpl Financial Llc | Erie | PA | 10/2023 | Present |
1) 10/2023 - James Buto / Non-Variable Insurance / Inv. Related / Erie, PA / Start date 01/01/2023 - 0Hrs per month - 0% Time Spent 2) 10/2023 - Presque Isle Wealth Management / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 120 Hrs per month / 75% Time Spent
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-18 |
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