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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2014-01-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Denver | CO | 01/2014 | Present |
1. 8/1/2016: Roclow, Inc. - Investment Related - 221 E Yale Ave, Denver, CO 80210 - Business Entity For Tax/Investment Purposes Only - Start 10/01/2016 - 5 Hours Per Month During Securities Trading. 2. 11/21/2016: Roclow, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/21/2011 - 10 Hours Per Month During Securities Trading - Term, LTC, disability. 3. 7/21/2017 - Marguerite Frye Trust and Thomas C Frye Trust - Not Investment Related - 221 E Yale Ave, Denver, CO 80210 - Act in a Fiduciary Capacity - Started 09/26/2016 - 2 Hours Per Month During Securities Trading - Trustee on two trusts for grandmother. 4. 03/09/2022 - No Business Name - Investment Related - Keystone, CO. 80435 - Real Estate Rental - Start Date - 03/04/2022 - 1 Hours Per Month/0 Hours During Securities Trading. 5. 03/09/2022 - 03/09/2022 - No Business Name - Investment Related - Boulder, CO. 80305 - Real Estate Rental - Start Date - 03/04/2022 - 2 Hours Per Month/0 Hours During Securities Trading. 6. 11/04/2024 - Jon and Sharon Frye Family Trust - Act in a Fiduciary Capacity - Trustee - At Reported Business Location(s) - Start Date 10/22/2024 - 10 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-12-08 |
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