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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-01-23 |
| TX | RA | APPROVED | 2007-03-16 |
| ME | RA | APPROVED | 2006-02-10 |
Branch Locations
4A Shapleigh Road Suite 2, Kittery, ME 03904 • United States
Atlantic Beach, NC • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Kittery | ME | 02/2006 | Present |
1. 4/27/2017 - Quadripoint Investment Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/01/2017 - 160 Hours Per Month During Securities Trading. 2. 5/2/2017 - Hale Investment Group, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 07/31/2017 - 160 Hours Per Month During Securities Trading. 3. 3/12/2019 - No Business Name - Investment Related - Atlantic Beach, NC 28512 - Real Estate Rental - Landlord - Started 02/01/2019 - 2 Hours Per Month/0 Hours During Securities Trading - Purchased residential real estate. Will serve as landlord of this single family home.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-04-08 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-09 |
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