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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-11-05 |
| IL | RA | APPROVED | 2009-09-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Darien | IL | 09/2009 | Present |
1. 12/2/2019 - Anam Cara Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/26/2019. 2. 12/27/2021 - Sequoia Financial Network - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/27/2001 - 5 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-05 |
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