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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2023-10-08 |
Branch Locations
109 Third Avenue, Baraboo, WI 53913 • United States
41 W Munroe Ave, Lake Delton, WI 53940 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Devils Head Resort & Convention Center | Merrimac | WI | 06/1994 | Present |
| Raymond James Financial Services, Inc | Baraboo | WI | 11/2008 | 12/2018 |
| Baraboo State Bank | Baraboo | WI | 01/2006 | Present |
| Lpl Financial Llc | Baraboo | WI | 12/2018 | Present |
1)12/7/18- Third Oak Investment Services- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)- 100% 2)12/7/18- Devils Head - Waitress- Non-Inv. Related- Merrimac, WI- start dat 13/31/2014- 1%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-10-05 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-15 |
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