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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-11-05 |
| TX | RA | APPROVED | 2024-11-04 |
Branch Locations
20325 N 51St Ave Suite 174, Glendale, AZ 85308 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Scottsdale | AZ | 09/2013 | 01/2019 |
| Centaurus Financial Inc. | Anaheim | CA | 01/2019 | 11/2024 |
| Lpl Financial Llc | Glendale | AZ | 11/2024 | Present |
1) 10/2024 - Forum Tax Planning / Tax Prep/Accounting/CPA / Inv. Related / Glendale AZ 85308 / Start date 01/01/2015 - 5 Hrs per month - 1% Time Spent 2) 10/2024 - Argosy Financial / DBA for LPL Business (entity for LPL business) / Inv. Related / Glendale, AZ 85308 / Start date 10/18/2024 - 160 Hrs per month - 100% Time Spent 3) 10/2024 - Notary / State of AZ / Inv Rel / Start: 10/18/2024 / 1 Hr/Mth 4) 11/26/2024- Core Income- Non-Variable Insurance - Agent selling fixed insurance, LTC and disability- Inv. Related- At reported business location(s) - start date 11/05/2024- 3hrs per mth/ 0 during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-09-28 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-22 |
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