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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| HI | RA | APPROVED | 2023-11-13 |
Branch Locations
1299 S Beretania St Ste 220, Honolulu, HI 96814 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Honolulu | HI | 07/2008 | 10/2023 |
| Lpl Financial Llc | Honolulu | HI | 10/2023 | Present |
1) 10/2023 - Tao Investment Hawai'i / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2) 10/2023 - Notary / Inv. Related / Honolulu HI / Start date 10/16/2023 - 1 Hr per month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-02-14 |
| S63 | Uniform Securities Agent State Law Examination | 2001-07-05 |
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