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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-07 |
| MO | RA | APPROVED | 2011-07-05 |
Branch Locations
402 North Belt Hwy, St. Joseph, MO 64506 • United States
1302 S Riverside Rd, Saint Joseph, MO 64507 • United States
6304 King Hill Ave, Saint Joseph, MO 64504 • United States
4001 North Belt Hwy, Saint Joseph, MO 64506 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | St. Joseph | MO | 07/2011 | Present |
1. 5/27/2011 - NODAWAY VALLEY INVESTMENT SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 1/11/2017 - nvb - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/20/17 - 1 Hour Per Month During Securities Trading. 3. 6/12/2018 - Nodaway Valley Investment Services - DBA: NVIS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:07/01/2002 - 160 Hour(s) Per Month/160 Hour(s) During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-22 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-01 |
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