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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-04-02 |
| TX | RA | APPROVED_RES | 2022-09-08 |
Branch Locations
8600 E Anderson Dr Ste 240, Scottsdale, AZ 85255 • United States
305 N Mount Vernon Ave, Prescott, AZ 86301 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Directed Services, Llc | Windsor | CT | 01/2013 | 11/2021 |
| Voya Financial Advisors | Des Moines | IA | 09/2014 | 11/2021 |
| Voya Financial Partners | Windsor | CT | 09/2014 | 11/2021 |
| Voya American Equities | Windsor | CT | 09/2014 | 11/2021 |
| Voya Retirement Advisors | Windsor | CT | 09/2014 | 09/2016 |
| Lpl Financial, Llc | Prescott | AZ | 11/2021 | Present |
1. 12/8/2021 - Broker Marketing Services Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 02/18/2018 - 10 Hours Per Month/0 Hours During Securities Trading. 2. 12/10/2021 - Stoic Capital LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 11/29/2021 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 11/7/2023: Stoic Wealth Advisors; At Reported Business Location(s); DBA for LPL Business (entity for LPL business); Inv. related; start date 11/1/2023; 160hrs/mo.; 8hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-09-22 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-02 |
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