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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-06-27 |
| TX | RA | APPROVED_RES | 2024-06-27 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii | Warwick | RI | 04/2015 | 11/2018 |
| Royal Alliance Associates, Inc. | Rocky Hill | CT | 11/2018 | 06/2024 |
| Lpl Financial Llc | Farmington | CT | 06/2024 | Present |
1) 05/30/2024 - Ratner Wealth Management LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 05/30/2024 - Non-Variable Insurance Trails Only - offers: Life, Health, LTC - Investment related - Investment related - 20 Hours per month - Start date: 06/27/2024.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-11-23 |
| S63 | Uniform Securities Agent State Law Examination | 2003-07-01 |
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