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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-21 |
| ID | RA | APPROVED | 2021-07-21 |
| SC | RA | APPROVED | 2021-07-21 |
| UT | RA | APPROVED | 2021-07-21 |
| WA | RA | APPROVED | 2021-07-21 |
| WY | RA | APPROVED | 2021-07-21 |
Branch Locations
111 E 5600 S, Ste 301, Murray, UT 84107 • United States
1733 S 1100 E Suite 100, Salt Lake City, UT 84105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Salt Lake City | UT | 04/2003 | Present |
| Various Insurance Carriers | Salt Lake City | UT | 05/2003 | Present |
| Lpl Financial Llc | Salt Lake City | UT | 07/2021 | Present |
1- 01/2019 / DBA for LPL Business (entity for LPL business) / Hess, Clifford & Mackay Financial Group / Investment Related / MURRAY UT 84107 2- 10/19/2023 - Rise Financial & Tax Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/03/2023 - 170 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-05 |
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