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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DE | RA | APPROVED | 2024-07-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates, Inc. | Silver Spring | MD | 07/2005 | 07/2024 |
| Lpl Financial Llc | Ocean View | DE | 07/2024 | Present |
1) 06/13/2024 - Artist/ Actor/ Entertainer - Part-time entertainer/Actor singing and entertain - DE 19970 - Non investment related - 24 Hours per month - Start date: 11/02/1974. 2) 06/13/2024 - Investment Advisors Financial Group - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 3) 06/13/2024 - Franklin Raines, Reverend - Church/Pastor - Perform weddings as entertainer - Internet Minister - Religious services - DE 19970 - Non investment related - 1% Time spent - Start date: 02/04/2006. 4) 06/12/2024 - USA Swimming Official - 1099 Employment - Not Investment Related - 4 hrs mth / 0 hrs during trading / Start date: 09/15/2013
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-18 |
| S66 | Uniform Combined State Law Examination | 2000-07-27 |
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