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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-06-25 |
| WY | RA | APPROVED | 2017-11-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Centers Of America, Inc. | Sheridan | WY | 07/2008 | 11/2017 |
| Lpl Financial Llc | Sheridan | WY | 11/2017 | Present |
| Ica Group Wealth Management, Llc | Sheridan | WY | 03/2022 | 06/2024 |
1. 11/29/2017 - 1886 Properties LLC - Not Investment Related - Larimie, WY - Real Estate Rental - Landlord/owner - Start Date 2014. 2. 11/30/2018 - First Northern Bank of Wyoming - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Started 06/30/2008 - 160 Hours Per Month During Securities Trading. 3. 1/3/2019 - First Northern Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/29/2017 - 160 Hours Per Month/130 Hours During Securities Trading. 4. 12/23/2022 - Sheridan County School District #2 - Investment Related - 500 Lewis Street Sheridan, WY 82801 - Outside/W-2 Employment - Sheridan Jr. High School 8th grade basketball coach - Start Date - 01/04/2023 - 40 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-03-27 |
| S63 | Uniform Securities Agent State Law Examination | 2000-02-01 |
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