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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2019-10-01 |
| TX | RA | APPROVED | 2019-10-01 |
Branch Locations
6530 W Campus Oval Ste 320, New Albany, OH 43054 • United States
1201 Dublin Rd, Columbus, OH 43215 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Maxwell Financial Mgmt | Columbus | OH | 04/2005 | Present |
| Fsc Securities Corporation, Inc | Worthington | OH | 11/2005 | 10/2019 |
| Fsc Agency | Atlanta | GA | 11/2005 | 10/2019 |
| Lpl Financial, Llc | New Albany | OH | 10/2019 | Present |
1. 10/1/2019 - MAXWELL FINANCIAL MANAGEMENT LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 1/2016 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 90%. 2. 12/10/2020 - Kathryn S Ufferman - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/01/2013 - 10 Hours Per Month During Securities Trading. 3. 07/23/2024 - KATHRYN S MAXWELL UFFERMAN LLC - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - Start Date 01/01/2021 - 5 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-11 |
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