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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2019-08-01 |
Branch Locations
6995 S Union Park Ctr Ste 300, Cottonwood Heights, UT 84047 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massachusetts Mutual Life Insurance Comp | Springfield | MA | 08/1997 | 07/2019 |
| Mml Investors Services, Inc. | Salt Lake City | UT | 08/1997 | 07/2019 |
| Lpl Financial, Llc | Cottonwood Heights | UT | 07/2019 | Present |
1. 7/30/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 1/1/11 - 10 Hours Per Month During Securities Trading - Health, Dental, Vision. 2. 7/30/2019 - Intermountain Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/2005 - Time Spent 100%. 3. 3/29/2021 - JLT, Financial, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 03/15/2021 - 1 Hour Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-16 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-03 |
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