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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-03-13 |
| TX | RA | APPROVED_RES | 2023-03-06 |
Branch Locations
6101 Carnegie Blvd. Suite 520, Charlotte, NC 28209 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Charlotte | NC | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 11/2016 | 03/2023 |
| Lpl Financial Llc | Charlotte | NC | 03/2023 | Present |
1) 03/01/2023 - Carnegie Private Wealth - DBA for LPL Business (entity for LPL business) - inv -related - At Reported Business location(s) - Start date: 3/1/2023 - 160hrs/mnth 40hrs during Trading 2) 03/01/2023 - Carnegie Private Wealth - Non-Variable Insurance - inv rel - Start date: 3/1/2023 - 5 hrs per mo charlotte nc 3. 09/19/2025 - Non-Variable Insurance - inv -related - At Reported Business location(s) - Start date: 09/05/2025 - 2hrs/mnth 2hrs during Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 2003-12-11 |
| S65 | Uniform Investment Adviser Law Examination | 2003-11-10 |
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