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3030 North Rocky Point Drive West Suite 700, Tampa, FL 33607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2011-12-14 |
Branch Locations
541 Buttermilk Pike, Suite 305, Crescent Springs, KY 41017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Florence | KY | 12/2010 | 05/2019 |
| Independent Financial Partners | Florence | KY | 05/2012 | Present |
| Ifp Securities, Llc | Florence | KY | 05/2019 | Present |
(1) 12/02/2010: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) (2) 05/08/2012: IFP - Registered Investment Advisor - DBA: (hybrid) Independent Financial Partners - Investment Related - At Reported Business Location(s) - 25% Time Spent - I will charge percentage on advice and fix or flat fee for financial plans. (3) 10/23/2013: DBA - IFP Plan Magagement - Investment Related - At Reported Business Location(s) - 15% Time Spent - Individaul 401K planning. (4) 10/23/2013: DBA - Bosch Financial - Investment Related - At Reported Business Location(s) - 25% Time Spent - Asset under Management for fees (5) Thomas C. Dillon; Investment Related; 1732 Monticello Dr, Ft. Wright, KY 41011; Selling Medicare advantage and medicare supplements; Fixed Life, Indexed Annuities, Property & Casualty, Health, Disability or LTC Insurance; 15 hours per month; start date 2/1/20.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-21 |
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