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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-01-02 |
| MA | RA | APPROVED | 2011-06-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Woburn | MA | 01/2011 | Present |
1. 8/31/2018 - GEM Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:10/01/2018 - 0 Hours Per Month/0 Hours During Trading. 2. 6/25/2019 - First American Insurance Underwriters - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 06/24/2019 - 2 Hours Per Month/1 Hour During Securities Trading. 3. 6/25/2019 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary Public - Started 06/11/2019 - 1 Hours Per Month/0 Hours During Securities Trading. 4. 6/25/2019 - Alpha Solutions Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 06/10/2019 - 2 Hours Per Month/1 Hour During Securities Trading. 5. 02/13/2023 - Machava Realty Group, LLC - Investment Related - Dracut, MA 01826 - Real Estate Rental - Start Date: 02/01/2023 - 4 Hours Per month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 2003-07-24 |
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