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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-01-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wachovia Bank, N.A. | Oakhurst | NJ | 07/2006 | 01/2024 |
| Wells Fargo Advisors Llc | Point Pleasant Boro | NJ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Point Pleasant Boro | NJ | 11/2016 | 01/2024 |
| Lpl Financial | Brick | NJ | 01/2024 | Present |
1- 01/2024 / Windward Wealth Advisors / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mnth / 8 hrs during trading 2- 01/2024 / Notary / Investment Related / start date 07/10/2006
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 2008-07-30 |
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