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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MT | RA | APPROVED | 2020-12-09 |
| AK | RA | APPROVED | 2019-05-29 |
| TX | RA | APPROVED_RES | 2018-01-31 |
| WA | RA | APPROVED | 2017-06-20 |
Branch Locations
401 Halibut Point Rd, Sitka, AK 99835 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Spokane Valley | WA | 06/2016 | Present |
| Financial Advocates Investment Management | Spokane Valley | WA | 06/2016 | 07/2017 |
1. 06/06/2016 - FINANCIAL STRATEGIES GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 50%/ SPOKANE VALLEY, WA. 2. 02/14/2019 - Financial Educators Group - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:02/11/2019 - 10 hrs/mo - 5 hours during trading. 3. 05/29/2019 - ALPS Federal Credit Union - Investment related - 401 HALIBUT POINT ROAD SITKA, AK 99835 - Financial Institution Duty - 2- hrs/mo - 10 hrs during trading. 4. 12/10/2021 - High Peaks FCU - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 12/01/2020 - 4 Hours Per Month/2 Hours During Securities Trading - Wealth Manager/Financial Advisor for High Peaks FCU.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-02-11 |
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