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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2021-12-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Boulder | CO | 02/2012 | 12/2021 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 12/2021 |
| Lpl Financial | Boulder | CO | 12/2021 | Present |
1) 12/2021 - DBA for LPL Business (entity for LPL business) - Castle Peak Wealth Management - Investment Related - Boulder, CO 80303 2) 12/2020 - Real Estate Rental - 9 Castle Road LLC - Investment Related - 1% - 4570 Sprucedale Place Boulder, CO 80301 3) 11/03/2022 - No Business Name - Investment Related - 1270 Yellow Pine Avenue Boulder, CO 80301 - Other-Notary Public - Start Date: 10/31/2022 - 1 Hour Per Month/1 Hour During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 2000-01-10 |
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