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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2019-10-15 |
Branch Locations
2100 Third Avenue N Ste 1100, Birmingham, AL 35203 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Brookline Group, Llc | Birmingham | AL | 08/2012 | 11/2018 |
| Brookline Investments, Inc | Birmingham | AL | 01/2013 | 12/2018 |
| Proequities, Inc. | Birmingham | AL | 12/2018 | 09/2019 |
| Cadence Investment Services/Huntington National Bank | Birmingham | AL | 09/2019 | Present |
| Lpl Financial Llc | Birmingham | AL | 10/2019 | Present |
1) 10/15/19- Investment products and services are offered through LPL Financial LLC using the DBA/trade name Cadence Investment Services - Inv. Related- at reported business location(s)- 100% 2) 10/15/19- FINRA Dispute Resolution- FINRA Arbitrator- Inv. Related- Boca Raton, FL- start date 4/1/2004- 0% 3) 02/06/2026- Cadence Investment Services/Huntington National Bank - Financial Institution Duty - Investment Products Risk & Compliance Manager - At Reported Business Location(s) - start date 09/09/2019- 40 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-08-22 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-04 |
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