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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2015-12-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gate City Bank | Fargo | ND | 04/2012 | Present |
| Lpl Financial Llc | Fargo | ND | 12/2015 | Present |
1. 10/24/2018 - Gate City Bank - DBA: Gate City Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Stated 10/15/2018 - 40 Hours Per Month/30 Hours During Securities Trading. 2. 5/5/2021 - Gate City Insurance Agency - Investment Related - At Reported Business Location(s) - Insurance Agency - President - Started 03/01/2021 - 10 Hours Per Month During Securities Trading - Oversee/manage Gate City Insurance Agency. 3. 01/05/2022 - Gate City Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 12/01/2021 - 1 Hour Per Month/1 Hour During Securities Trading - Investment Committee Member. 4. 05/31/2022 - Simplicity Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 03/01/2016 - 10 Hours Per Month/ 8 Hours During Securities Trading 5. 06/08/2023 - Gate City Bank - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Risk Management Committee - Start Date 12/01/2021 - 5 Hours Per Month/ 5 Hours During Securities Trading 6. 11/06/2024 - Real Estate Rental - Investment Related - Detroit Lakes, MN - Start Date 09/12/2007 - 0 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-07 |
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