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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-12-13 |
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Fairport | NY | 10/2011 | Present |
1. 9/21/2017 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary Public - Started 05/22/2014 - 1 Hour Per Month During Securities Trading. 2. 06/21/2022 - Riley Whalen Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/01/2022 - 10 Hours Per Month/ 10 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-09-22 |
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