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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2007-11-16 |
Branch Locations
201 S. Washington St., Ste 102, Shelby, NC 28150 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Shelby | NC | 11/2007 | Present |
1. 11/16/2007: NO BUSINESS NAME - NOT INV REL - COMMUNITY, CIVIC AND CHARITABLE BOARD - AD BOARD MEMBER WITH SOUTH MOUNTAIN CHILDREN AND FAMILY SERVICES. 2. 7/2/2015: WINN FINANCIAL SERVICES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 07/06/2015 - 1 HR/MO ALL DURING SECS TRDG HRS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-08 |
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