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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2005-10-12 |
Branch Locations
1701 48Th Street Suite 200, Office B, West Des Moines, IA 50266 • United States
2 disclosure categories 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 | West Des Moines | IA | 10/2005 | Present |
1. 08/09/2021 - Aspen Financial Services, Inc. - DBA: Aspen Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/12/2005 - 4 Hours Per Month/4 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-28 |
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