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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-01-26 |
| MA | RA | APPROVED | 2016-01-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Norwell | MA | 10/2015 | Present |
1. 10/26/2015 - The Windsor Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/01/1978 - 160 Hours Per Month/8 Hours During Securities Trading. 2. 4/28/2017 - LTCI Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/12/2017 - 10 Hours Per Month During Securities Trading - Using LTCI Partners for Long term care insurance purchases. 3. 03/21/2024 - Windsor Group Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/01/2024 - 160 Hours Per Month/ 120 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-04-27 |
| S63 | Uniform Securities Agent State Law Examination | 2004-10-21 |
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