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527 Wellington Way, Ste 225, Lexington, KY 40503 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-01-02 |
| TX | RA | APPROVED_RES | 2014-05-23 |
Branch Locations
38 Public Square, Somerset, KY 42501 • United States
527 Wellington Way, Ste 225, Lexington, KY 40503 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Somerset | KY | 05/2014 | Present |
| Keystone Financial Group, Llc | Somerset | KY | 05/2014 | Present |
1. 05/19/2014 - REAL ESTATE RENTAL - INV REL - 1% TIME SPENT - OWNER OF RENTAL PROPERTY. MANAGE AND MAINTAIN PROPERTY 2. 05/19/2014 - KEYSTONE FINANCIAL GROUP - INV REL - AT REPORTED LOCATION - 50% TIME SPENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 3. 05/27/2014 - REGISTERED INVESTMENT ADVISOR - INV REL - KEYSTONE FINANCIAL GROUP - IAR - 50% OF TIME SPENT - SOMERSET, KY 4. 10/19/2021 - Richardson Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/15/15 - 6 Hours Per Month During Securities Trading. 5. 06/14/2024 - Simple & Rich LLC - Inv Related - Business Entity For Tax/Investment Purposes Only - Real Estate and automobile restorations - Started: 4/25/2024 - 5 Hrs/Mo; 0 Hr During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-08-17 |
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