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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-10-08 |
Branch Locations
4500 S. Lakeshore Dr., Ste 580, Tempe, AZ 85282 • United States
Chandler, AZ • 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 Bank | Tempe | AZ | 07/1999 | 10/2021 |
| Wells Fargo Advisors Llc | Tempe | AZ | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Tempe | AZ | 11/2016 | 10/2021 |
| Lpl Financial Llc | Chandler | AZ | 10/2021 | Present |
1. 05/25/2022 - Tauer Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 10/08/2021 - 160 Hours Per Month/ 8 Hours During Securities Trading. 2. 01/18/2024 - Other - Notary Public - Not Investment Related - At Reported Business Location(s) - Start Date 03/30/2022 - 0 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-09-16 |
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