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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-02-17 |
| TX | RA | APPROVED | 2023-02-16 |
Branch Locations
2111 E Highland Ave Ste B420, Phoenix, AZ 85016 • United States
2111 E Highland Suite B225, Phoenix, AZ 85016 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Los Angeles | CA | 04/2008 | 06/2019 |
| Unemployed | Phoenix | AZ | 06/2019 | 07/2019 |
| Moors & Cabot | Phoenix | AZ | 07/2019 | 10/2022 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Phoenix | AZ | 10/2022 | 02/2023 |
| Lpl Financial Llc | Phoenix | AZ | 02/2023 | Present |
1) 02/01/2023 - Maher Wealth Management - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 02/01/2023 - Notary - Non Investment related - 0.01 Hours per week - Start date: 02/16/2023.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-01 |
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