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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-05-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 08/2012 | Present |
| Sigma Planning Corporation | Ann Arbor | MI | 08/2012 | Present |
| Lpl Financial Llc | Rockford | IL | 05/2023 | Present |
1. 05/18/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 09/01/2012 - 26 Hours Per Month/ 6 Hours During Securities Trading - Time Spent 95% 2. 06/06/2023 - Sale of Medicare Supplement Plans - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 07/01/2021 - 1-2 Hours Per Month/ 0 Hours During Securities Trading - Time Spent 1% 3. 06/06/2023 - Independently Licensed Insurance Agent - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 09/01/2012 - 2-3 Hours Per Month/ 0 Hours During Securities Trading - Time Spent 2%
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-02-07 |
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