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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2023-03-24 |
| TX | RA | APPROVED_RES | 2023-03-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 | Chicago | IL | 04/2005 | 03/2023 |
| Bank Of America,Na | Chicago | IL | 12/2009 | 03/2023 |
| Lpl Financial | Michigan City | IN | 03/2023 | Present |
| Notre Dame Federal Credit Union | South Bend | IN | 03/2023 | 01/2024 |
1) 2025-01-14 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Harbor View Financial - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2025-01-13 - 160hrs/mth - 160hrs/mth during trading 2) 2026-05-06 - Harbor View Financial - Non-Variable Insurance - Y - at reported business location(s) - 2026-04-24 - 2hrs/mth - 1hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-11-02 |
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