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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2023-10-05 |
| TX | RA | APPROVED | 2023-09-19 |
Branch Locations
14217 Dayton Circle Suite 3, Omaha, NE 68137 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Securities Inc | Omaha | NE | 01/2008 | 09/2023 |
| Principal Life Insurance Company | Omaha | NE | 01/2008 | 09/2023 |
| Ricketts Executive Planning | Omaha | NE | 01/2013 | Present |
| Vintage Financial Group | Omaha | NE | 04/2014 | Present |
| Lpl Financial Llc | Omaha | NE | 09/2023 | Present |
1) 09/19/2023 - Ricketts Executive Planning INC / Business Entity For Tax/Investment Purposes Only / Not Investment Related / Omaha NE / Start date 02/01/2008 - 5 hrs per month / 5% time spent / 1 Hrs during trading 2) 09/19/2023 - Midland National / Non-Variable Insurance Trails Only / Inv. Related / Omaha NE / Start date 04/01/2008 - 1 Hr per month / 1 % time spent / 1 Hrs during trading 3) 09/19/2023 - Vintage Financial Group, LLC / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 160 hrs per month - Start date: 02/1/2008 4)08/23/2024 - PRD Investments LLC / Real Estate Rental / Owner / Not Investment Related / Omaha NE - Start date 03/01/2016 - 2 Hrs per month / 2 % time spent 5. 10/06/2025 - outside Insurance - Non-Variable Insurance - Inv. Related - At Reported Business Location(s) - Start date: 02/1/2008 - 10 hrs per month 1hrs during Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-12-24 |
| S63 | Uniform Securities Agent State Law Examination | 2008-02-02 |
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