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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-01-14 |
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 |
|---|---|---|---|---|
| Lpl Financial Llc | Tucson | AZ | 01/2003 | Present |
(1) 07/21/2008: Service Club - COMMUNITY, CIVIC AND CHARITABLE BOARD - NOT INV REL - ROTARY CLUB OF TUCSON - 5% OF TIME SPENT (2) 04/29/2014: NO BUSINESS NAME - REAL ESTATE RENTAL - INV REL - One rental unit. Single Family Residence. No renters are customers or advisors of another B/D or RIA. - 5% OF TIME SPENT (3) 07/29/2014: AFFINITY WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Affinity Wealth Management - INV REL - START 08/01/2014 - 2960 N Swan Road Suite 215 Tucson AZ 85712 - This name will only be used for our LPL Financial securities business. Only LPL Financial registered associates have interest in this name. This name is not a registered insurance agency. This name is not an RIA. - 160 HR/MO 7 DURING SECS TRDG HRS (4) 11/10/2015: Cenote Furnishings & Antiques - Business Entity For Tax/Investment Purposes Only - INV REL - START 02/23/2006 - This entity exists in name only. It is non-operational. - Sole Member of Non-Operating /functioning LLC. There are no members. Articles of incorporation filed in February of 2006 but there has been no activity. Retaining LLC name only. The "business" does not share space with my securities business. - 0 HR/MO - Cenote Furnishings & Antiques - Business Entity For Tax/Investment Purposes Only (5) 10/14/2021 - HiPeaks, LLC - Investment Related - 2476 E River Road, Tucson 85718- Real Estate Rental - Co-owner - Start Date: 10/23/2020 - 2 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-19 |
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