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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2023-05-15 |
Branch Locations
39209 6 Mile Rd, Suite 155, Livonia, MI 48152 • 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 |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 04/2016 | 05/2023 |
| Sigma Planning Corporation | Ann Arbor | MI | 04/2016 | 05/2023 |
| Lpl Financial | Livonia | MI | 05/2023 | Present |
1. 07/03/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 06/29/2023 - 140 Hours Per Month/ 7 Hours During Securities Trading - Time Spent 100%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-05-12 |
| S63 | Uniform Securities Agent State Law Examination | 1998-07-31 |
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