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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2013-02-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cadence Bank | Birmingham | AL | 12/2011 | Present |
| Lpl Financial Llc | Birmingham | AL | 01/2013 | Present |
1. 1/8/2013 - Cadence Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Time Spent: 70%. 2. 1/8/2013 - Cadence Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-02-24 |
| S66 | Uniform Combined State Law Examination | 2001-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-26 |
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