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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-11-29 |
| IN | RA | APPROVED | 2014-08-27 |
Branch Locations
3500 Depauw Blvd, Suite 2042, Indianapolis, IN 46268 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Indianapolis | IN | 08/2014 | Present |
1. 6/17/2019 - Perspective Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/17/2019 - 160 Hours Per Month/8 Hours During Securities Trading. 2. 11/9/2020 - Austin M. Sparks Qualified Plan Trust - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Trustee - Started 10/25/2019 - 1 Hour Per Month During Securities Trading 3. 11/9/2020 - Lillian O. Sparks Qualified Plan Trust - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Trustee - Started 10/15/2019 - 1 Hour Per Month During Securities Trading 4. 11/9/2020 -Kyan C. Sparks - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Trustee - Started 10/25/2019 - 1 Hour Per Month During Securities Trading 5. 04/17/2026 - Perspective Financial Group - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 04/01/2026 - 20 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-01-12 |
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