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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2021-12-08 |
Branch Locations
607 Cascade W Parkway Se, Grand Rapids, MI 49546 • United States
497 Columbia Ave E Ste 15, Battle Creek, MI 49014 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Charlotte | NC | 05/2012 | 12/2018 |
| Lake Michigan Credit Union | Grand Rapids | MI | 05/2012 | 12/2018 |
| Securities America, Inc. | Jenison | MI | 12/2018 | 12/2021 |
| Securities America Advisors | Jenison | MI | 12/2018 | 12/2021 |
| Lpl Finanical, Llc | Jenison | MI | 12/2021 | Present |
1) 8/2019 - Business Entity For Tax/Investment Purposes Only - M SERNAU FINANCIAL LLC - Not Investment Related - 5% - Rockford, MI 49341 2) 6/2021 - Notary - Matthew Sernau - Not Investment Related - 1% - Rockford, MI 49341 3) 12/2021 - DBA for LPL Business (entity for LPL business) - MOSAIC WEALTH MANAGEMENT, LLC - Investment Related - Jenison, MI 49428 4) 2/2021 - Online retail - FIVE LAKES FIREARMS LLC - Not Investment Related - 5% - Jenison, MI 49428 5) 03/25/2024 - mifinancialadvisor.com - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 03/01/2024 - 4 Hours Per Month/ During Trading 6) 07/18/2024 - Money Matters Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/01/2024 - 0 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-09-15 |
| S63 | Uniform Securities Agent State Law Examination | 2003-06-26 |
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