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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-05-18 |
Branch Locations
1620 Red Bud Lane, Suite 207, Round Rock, TX 78664 • United States
Austin, TX • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 03/2012 | 05/2023 |
| Sigma Planning Corporation | Ann Arbor | MI | 03/2012 | 05/2023 |
| Lpl Financial Llc | Austin | TX | 05/2023 | Present |
1. 05/18/2023 - Legacy Oak Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 05/18/2023 - Legacy Oak Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 3. 07/10/2023 - Legacy Oak Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 5/18/2023 - 160 Hours Per Month/ 8 Hours During Trading - Time Spent 100% 4. 07/10/2023 - Legacy Oak Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance: Trails Only - Start Date 5/18/2023 - 2 Hours Per Month/ 5 Hours During Trading - Time Spent 1% 5. 07/10/2023 - Legacy Oak Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 5/18/2023 - 2 Hours Per Month/ 0.25 Hours During Trading - Time Spent 1%
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-23 |
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