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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2025-01-01 |
| TX | RA | APPROVED_RES | 2020-09-22 |
Branch Locations
6919 Baltimore National Pike Ste C, Frederick, MD 21702 • United States
5 North Main Street, Woodsboro, MD 21798 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Frederick | MD | 12/2010 | Present |
1. 12/22/2010 - DBA ONLY - STERLING FINANCIAL MANAGEMENT, INC. - FREDERICK, MD 2. 09/18/2019 - Woodsboro Financial Service Inc - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:09/03/2019 - 20 hrs/mo - 20 hrs during trading. 3. 08/24/2021 - Batey Group LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/01/2021 - 2 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 1998-03-06 |
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