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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-01-02 |
| IA | RA | APPROVED | 2007-11-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp) | Dubuque | IA | 11/2007 | Present |
(1) 11/14/2007: COLTS YOUTH ORGANIZATION - NOT INV REL - COMMUNITY, CIVIC AND CHARITABLE BOARD - 5% OF TIME SPENT - BOOSTER BOARD MEMBER. THIS IS A NON-PROFIT YOUTH ACTIVITY ORGANIZATION. (2) 11/14/2007: NON-VARIABLE INSURANCE DBA - 3999 PENNSYLVANIA AVENUE, DUBUQUE, IA 52002 - NON-VARIABLE INSURANCE DBA - DUPACO FINANCIAL SERVICES - 12% OF TIME SPENT - SELLING FIXED INSURANCE PRODUCTS SUCH AS ANNUNITIES AND LIFE INSURANCE 3. 09/25/2019 - Dupaco Credit Union - Investment related - At reported business location(s) - Financial Institution Duty - start date:09/18/2019 - 1 hr/mo - 1 hr during trading. 4. 3/27/2020 - Dupaco Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2020 - 40 Hours Per Month During Securities Trading. 5. 09/20/2021 - City of Dubuque - Not Investment Related - 1240 Rush St, Dubuque, IA 52003 - Outside/W-2 Employment - Start Date: 10/05/2021 - 10 Hours Per Month/8 Hours During Securities Trading - Precinct election Official.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-06-02 |
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