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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-05-16 |
| TX | RA | APPROVED | 2023-05-16 |
Branch Locations
7035 Campus Dr, Ste 802, Colorado Springs, CO 80920 • United States
8101 E Prentice Ave Ste 775, Greenwood Village, CO 80111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Lone Tree | CO | 02/2014 | 01/2022 |
| Sigma Financial Corporation | Ann Arbor | MI | 01/2022 | Present |
| Sigma Planning Corporation | Ann Arbor | MI | 01/2022 | Present |
| Lpl Financial Llc | Colorado Springs | CO | 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) 2. 06/27/2023 - Rental Income - Investment Related - Castle Rock, CO - Real Estate Rental - Owner - Start Date 05/01/2020 - Time Spent 2% 3. 12/05/2024 - Real Estate Rental - Investment Related - Colorado Springs, CO - Start Date 02/26/2024 - 4 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-06-06 |
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