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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-07-11 |
| FL | RA | APPROVED | 2004-01-05 |
Branch Locations
2060 Highway A1A # 301, Indian Harbour Beach, FL 32937 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Indian Harbour Beach | FL | 12/2003 | Present |
1. 5/17/2004 - Non-Variable Insurance - MONGOOSE HEALTHCARE - INDIAN HARBOUR BEACH, FL. - Investment Related 2. 11/12/2004 - DBA for LPL Business (entity for LPL business) - POPE FINANCIAL, INC. - Investment Related - At Reported Business Location(s) 3. 5/29/2009 - DBA for LPL Business (entity for LPL business) - RETIREMENT & INVESTMENT GROUP - Investment Related - At Reported Business Location(s). 4. 4/7/2010 - DBA for LPL Business (entity for LPL business) - LEGACY INVESTMENT CONSULTANTS - Investment Related - At Reported Business Location(s). 5. 10/01/2012: DBA for LPL Business (entity for LPL business) / POPE FINANCIAL, INC / TIME SPENT 2%/ Investment Related - At Reported Business Location(s). 6. 3/5/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Funeral Services Representative/Agent - Started 03/31/2020 - 2 Hours Per Month/0 Hours During Securities Trading - Life, Health, Other-Pre-need - Educating people about pre-need burial and cremation insurance and services. 7. 4/21/2020 - FTGFC4610KT77, Inc. - Not Investment Related - At Reported Business Location(s), also, possibly via internet communications. - Business Owner - Owner - Started 03/27/2020 - 10 Hours Per Month/0 Hours During Securities Trading 8. 09/05/2024 - Other - Notary - Investment Related - At Reported Business Location(s) - Start Date 06/11/2024 - 1 Hour Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-06 |
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