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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-09-23 |
| AL | RA | APPROVED | 2021-08-31 |
Branch Locations
246 Inverness Center Drive, Birmingham, AL 35242 • 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 |
|---|---|---|---|---|
| Lpl Financial Llc | Birmingham | AL | 02/2005 | Present |
| Level Four Advisory Services | Birmingham | AL | 11/2016 | 08/2021 |
1. 06/19/2007 - NO BUSINESS NAME - INV REL - Non-Variable Insurance - 1% TIME SPENT - Possible sales in the above when directed as a result of a financial plan. 2. 9/2/2021 - Financial Advice and Consulting, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/01/2021 - 40 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-02 |
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