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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2012-10-24 |
| NM | RA | APPROVED | 2011-07-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Taos | NM | 07/2011 | Present |
1. 7/27/2011 - PEOPLES INVESTMENT PROFESSIONALS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - FC. 2. 11/8/2018 - Davin Schuler Investment Group, Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date:09/03/2018 - 200 Hours Per Month/200 Hours During Trading. 3. 7/22/2021 - No Business Name - Investment Related - Home Based & Cassoday KS - Real Estate Rental - Started 11/05/2014 - 1 Hour Per Month During Securities Trading. 4. 04/27/2023 - No Business Name - Investment Related - Taos, NM - Real Estate Rental - Start Date 01/02/2023 - 1 Hours Per Month/0 Hours During Securities Trading 5. 11/14/2024 - Aspen Peak LLC - Real Estate Rental - Investment Related - Augusta, KS - Start Date 02/01/2024 - 5 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-24 |
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