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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2023-09-08 |
| TX | RA | APPROVED_RES | 2023-09-07 |
Branch Locations
124 S Blakely St, Dunmore, PA 18512 • United States
196 North Main Street, Shavertown, PA 18708 • United States
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Plymouth | PA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Plymouth | PA | 11/2016 | 09/2023 |
| Lpl Financial Llc | Dunmore | PA | 09/2023 | Present |
| Fncb Bank | Dunmore | PA | 09/2023 | Present |
1) 08/2023 - 1st Investment Services / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2) 08/2023 - Real Estate Rental / Investment Related / Owner / Wilkes-Barre, PA - Start date 07/31/2023 - 6 Hrs per month 3) 08/2023 - Real Estate Rental / Investment Related / Owner / Larksville, PA / Start date 07/31/2023 - 6 Hrs per month 4) 07/08/2024 - Peoples Security Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/01/2024 - 160 Hours Per Month/ 8 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-09-20 |
| S63 | Uniform Securities Agent State Law Examination | 1998-01-29 |
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