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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-03-26 |
| KS | RA | APPROVED | 2024-03-26 |
| TX | RA | APPROVED | 2023-05-11 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 01/2011 | Present |
| Spc | Ann Arbor | MI | 01/2011 | Present |
| Lpl Financial Llc | Allen | TX | 05/2023 | Present |
1. 05/18/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/11/2023 - 160 Hours Per Month/ 40 Hours During Securities Trading - Time Spent 100% 2. 05/19/2023 - Green Wealth Management, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date 5/11/2023 - 160 Hours Per Month/ 40 Hours During Securities Trading - Time Spent 100% 3. 05/19/2023 - Multiple Insurance Carriers - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 5/11/2023 - 4 Hours Per Month/ 1 Hour During Securities Trading - Time Spent 5%
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-07-24 |
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