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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-03-22 |
| CA | RA | APPROVED | 2015-03-20 |
Branch Locations
211 N Leroux St., Flagstaff, AZ 86001 • United States
2638 East Route 66, Flagstaff, AZ 86004 • United States
25 N Main Street, Florence, AZ 85132 • United States
1470 W State Route 89A, Sedona, AZ 86336 • United States
1119 W Southern Ave Ste 110, Mesa, AZ 85210 • United States
58 S Lake Powell Blvd, Prescott, AZ 86040 • United States
9878 W Camelback Rd, Glendale, AZ 85305 • United States
201 N Montezuma St Ste 101, Prescott, AZ 86301 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Scottsdale | AZ | 03/2015 | Present |
| National Bank Of Arizonia | Scottsdale | AZ | 03/2015 | Present |
(1) 08/05/2016 * NB|AZ Wealth Advisors * DBA for LPL Business (entity for LPL business) * INV REL * 7375 E Doubletree Ranch Rd, Scottsdale, AZ 85258 * START 08/02/2016 * 40 HRS/MO DURING SECS TRDG HRS. 2) 2/20/2018 - ZB, N.A., DBA Wealth & Fiduciary Services - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 2/9/2018 - 5 Hours Per Month/5 Hours During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-09-12 |
| S63 | Uniform Securities Agent State Law Examination | 2010-06-16 |
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