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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-07-11
FL RA APPROVED 2004-01-05
  • TX RA
    APPROVED_RES
    Since 2012-07-11
  • FL RA
    APPROVED
    Since 2004-01-05

Branch Locations

2060 Highway A1A # 301, Indian Harbour Beach, FL 32937 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Indian Harbour Beach FL 12/2003 Present
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-13
S63 Uniform Securities Agent State Law Examination 1997-06-06
  • S65 Uniform Investment Adviser Law Examination
    1997-06-13
  • S63 Uniform Securities Agent State Law Examination
    1997-06-06
Designations

View on SEC IAPD

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