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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2024-12-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pnc Investments | Alpena | MI | 11/2009 | 03/2018 |
| Pnc Bank | Alpena | MI | 11/2009 | 03/2018 |
| Cuso Financial Services, Lp | San Diego | CA | 02/2019 | 06/2020 |
| Alpena Alcona Area Credit Union | Alpena | MI | 03/2018 | Present |
| Lpl Financial Llc | Alpena | MI | 09/2020 | Present |
1)9/15/2020- AAACU Investment Services- DBA for LPL Business (entity for LPL business)- Inv. Related- Alpena, MI- 100% 2)9/15/2020-Alpena Alcona Area Credit Union- Financial Institution Duty/Director of Advocacy- Inv. Related- at reported business location(s)- start date 3/20/2018- 160hrs/mth 3)08/09/2021 - Charter Township of Alpena - Not Investment Related - 4385 US 23 N, Alpena, MI 49707 - Non-Profit Board Member - Planning Commissioner - Start Date: 06/14/2021 - 2 Hours Per Month/0 Hours During Securities Trading - A seat in which I assist the local Township in determining zoning requirements for business and residential building needs.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-09 |
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