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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2017-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | Boston | MA | 09/2015 | 07/2017 |
| Lpl Financial, Llc | Weymouth | MA | 07/2017 | Present |
| Arsenal Financial, Llc | Norwell | MA | 01/2018 | Present |
1. 1/29/2018 - Arsenal Financial, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - start date 01/02/2018 - 12 hours per month/40 hours during securities trading. 2. 1/19/2018 - Winterfell Private Wealth - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - start date 01/15/2018 - approximately 1 hour per month during securities trading. 3. 7/3/2018 - Arsenal Financial, LLC. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date:03/12/2018 - 2 Hours Per Month/1 Hours During Trading - I provide financial planning and consulting services through Arsenal Financial LLC, an independent investment advisor firm. I started this business activity in 03/12/2018.. I expect to spend approximately [2 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-06-13 |
| S63 | Uniform Securities Agent State Law Examination | 2008-04-03 |
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