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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-10-24 |
| TX | RA | APPROVED_RES | 2022-10-20 |
| NC | RA | APPROVED | 2020-04-08 |
Branch Locations
493 S. Trade Street, Tryon, NC 28782 • United States
1728 Illinois Highway 100, Bluff, IL 62621 • 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 | Tryon | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Tryon | NC | 11/2016 | 03/2020 |
| Lpl Financial Llc | Tryon | NC | 03/2020 | Present |
1)02/12/2020 - Ashworth Financial Group - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 03/2020 - 160 hr/mth) 2)02/12/2020 - SHINING STAR FARMS LLC - Real Estate Rental - inv rel - Tryon, NC - start: 03/2016 - 10 hr/mth 3)02/12/2020 - Polk County Schools Board of Education - Non-Profit Board Member - non-inv rel - Columbus, NC - start: 02/2018 - 2 hr/mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-04-08 |
| S65 | Uniform Investment Adviser Law Examination | 1998-09-01 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-27 |
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