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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-07-30 |
| NC | RA | APPROVED | 2011-08-09 |
Branch Locations
4505 Country Club Rd Ste 210, Winston Salem, NC 27104-3509 • United States
5021 Hidden Lake Trail, Lewisville, NC 27023 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Winston Salem | NC | 08/2011 | Present |
1. 8/9/2011 - INTERGRATED FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 8/9/2011 - COMMONWEALTH LIFE AND ANNUITY COMPANY -VA Trails - INV REL- AT REPORTED BUSINESS LOCATION(S) - AGENT OF RECORD ON VA AND VAL POLICIES FOR CLIENTS WITH COMMONWEALTH - 0 TIME SPENT. 3. 6/7/2017 - Mosaic Capital Management- Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 07/20/2011 - 8 Hours Per Month/3 Hours During Securities Trading - Fixed insurance. 4. 1/17/2018 - Mosaic Capital Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/08/2011 - 160 Hours Per Month/6 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-08-21 |
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