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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-02-03 |
| TX | RA | APPROVED | 2025-01-29 |
Branch Locations
1055 Lpl Way, Fort Mill, SC 29715 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Yuma | AZ | 05/2016 | 03/2020 |
| Ameriprise Financial Services, Llc | Yuma | AZ | 03/2020 | 01/2025 |
| Lpl Financial Llc | Yuma | AZ | 01/2025 | Present |
1) 01/31/2025 - Southwest Advisory Group - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:01/01/2025 - 0 Hrs/Mth - 0 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 2018-10-29 |
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