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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2023-09-01 |
| NY | RA | APPROVED | 2021-08-03 |
| TX | RA | APPROVED_RES | 2013-02-26 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Durham | NC | 05/2008 | Present |
1. 11/08/2016: No Business Name - Investment Related - Home Based - Real Estate Rental - Started 10/12/2016 - 10 Hours Per Month/0 Hours During Securities Trading - The business is a partnership with my spouse to purchase for long term hold commercial real estate. 2. 5/5/2021 - Sterling Bank - DBA: Sterling Wealth Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 4/29/2021 - 30 Hours Per Month/4 Hours During Securities Trading. 3. 09/07/2021 - Webster Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/07/2021.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-06-09 |
| S65 | Uniform Investment Adviser Law Examination | 1998-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-03 |
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