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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2024-04-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Saint Louis | MO | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Saint Louis | MO | 11/2016 | 02/2022 |
| Commerce Brokerage Services | Clayton | MO | 02/2022 | Present |
| Lpl Financial Llc | St. Louis | MO | 08/2023 | Present |
1. 04/06/2023 - Commerce Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 04/06/2023 - COMMERCE BANK - Investment Related - At Reported Business Location(s) - Financial Institution Duty - EVP - Start Date 2/22/2022 - 880 Hours Per Month/ 8 Hours During Trading - Time Spent 100%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-04-08 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-07 |
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