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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Linsco/Private Ledger Corp. | Rochester | NY | 03/2004 | Present |
1. INVOLVEMENT AS AN INDEPENDENT INSURANCE AGENT SELLING FIXED LIFE PRODUCTS THROUGH CAPITAL CARE, INC. / ROCHESTER, NY / APPROVED APRIL 2, 2004 2. INVOLVEMENT AS AN INDEPENDENT INSURANCE AGENT SELLING LONG TERM CARE INSURANCE / ROCHESTER, NY / APPROVED MAY 26, 2004 3. 12.16.08 / DBA / RILEY, NICHOLS & MUNN 4. 10/11/2021 - Riley Whalen & Munn - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/15/2021 - 4 Hours Per Month/0 Hours During Securities Trading. 5. 09/20/2022 - Munn Financial Group, Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 10/01/2022 - 160 Hours Per Month/1 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-05-04 |
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