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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2008-02-08
  • AR RA
    APPROVED
    Since 2008-02-08

Branch Locations

6576 Lynchs Prairie Cv, Ste A, Springdale, AR 72762 • United States

303 North Main St, Suite 501, Harrison, AR 72601 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Springdale AR 06/2007 Present
Other Businesses

(1) 12/04/2008: The Point Financial Group, Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 04/15/2013: R & C Real Estate, LLC - Real Estate Rental - Investment Related - At Reported Business Location(s) - 10% Time Spent - This property will be a commercial building with 1 tenant in it. The tennant is not a customer or and advisor at another B/D or RIA. (3) 7/2/2018 - Chance Management, LLC - Not Investment Related - 1945 Home Based - Business Entity For Tax/Investment Purposes Only - Start Date:01/29/2018 - 0 Hours Per Month/0 Hours During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-07
  • S66 Uniform Combined State Law Examination
    2008-02-07

View on SEC IAPD

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