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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2016-03-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Waterloo | IA | 02/2016 | Present |
| Cedar Rapids Bank & Trust | Waterloo | IA | 02/2016 | Present |
1) 2/16/16-Cedar Rapids Investment Consulting- DBA for LPL Business- Inv.Related- at reported business location(s)- start 2/1/16-100% 2) 3/08/16-Cedar Rapids Bank & Trust- Bank duty-Wealth Management Assistant -Inv. Related- at reported business location(s)- start 3/3/16. 3) 5/17/2016: Community Bank & Trust - DBA: Cedar Valley Investment Consulting - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/05/2016 - 173 Hours Per Month/130 Hours During Securities Trading. 4) 08/01/2023 - Patricia J Smith Estate - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Start Date 03/18/2023 - 20 Hours Per Month/ 0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-09-20 |
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