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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2016-03-16 |
| TX | RA | APPROVED_RES | 2012-08-15 |
| MO | RA | APPROVED | 2012-08-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl | Springfield | MO | 08/2012 | Present |
(1) 05/28/2013 - DBA ONLY - WEALTH AND INVESTMENT SERVICES - SPRINGFIELD, MO (2) 07/14/2017-No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Started 07/03/2006 - 1 Hour Per Month During Securities Trading. (3) 04/25/2019 - No business name - DBA:417Wealth - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:04/15/2019 - 1 hr/mo - 1 hr during trading. (4) 12/02/2022 - State Bank of Southwest Missouri - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Senior Vice President-Mortgage Loan Officer - Start Date - 07/28/1998 - 4 Hours Per Month/4 Hours During Securities Trading (5) 11/16/2023 - 417 Wealth & Investment Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/23/2023 - 160 Hours Per Month/ During Trading (6) 08/28/2024 - Sooner Properties, LLC - Real Estate Rental - Investment Related - At Reported Business Location(s) - Start Date 12/02/2022 - 0 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-06-24 |
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