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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2024-01-17 |
| TX | RA | APPROVED | 2024-01-17 |
Branch Locations
319 Lake St., Roscommon, MI 48653 • United States
5982 Westside Saginaw Rd, Bay City, MI 48706 • United States
213 East Main St., Gaylord, MI 49735 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | La Vista | NE | 10/2013 | 11/2018 |
| Raymond James Financial Services, Inc. | Bay City | MI | 11/2018 | 01/2024 |
| Raymond James Financial Services Advisors, Inc. | Bay City | MI | 11/2018 | 01/2024 |
| Maier And Associates Financial Group | Bay City | MI | 01/1999 | Present |
| Lpl Financial Llc | Bay City | MI | 01/2024 | Present |
1) 01/17/2024 - Maier & Associates financial Group. Inc - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 02/999 - 160 Hr/Mth 2) 01/17/2024 - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 10/1984 - 4 Hr/Mth 3) 01/17/2024 - Referrals - Medicare Back office - Inv Rel - Bay City, MI - Start: 01/2013 - 1 Hr/Mth 4) 01/17/2024 - Maier & Associates Charitable Foundation - Non-Profit Board Member - Board Member - Not Investment Related - At Reported Business Location(s) - Start Date 10/01/2008 - 1 Hour Per Month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 2004-05-20 |
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