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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-05-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Naples | FL | 05/2015 | 12/2016 |
| Bank Of America, N.A. | Naples | FL | 07/2015 | 12/2016 |
| Morgan Stanley | Naples | FL | 12/2016 | 09/2017 |
| Morgan Stanley Private Bank, National Association | Naples | FL | 12/2016 | 09/2017 |
| Jp Morgan Securities, Llc | Naples | FL | 09/2017 | 06/2022 |
| Whistling Dixie Farms, Llc | Naples | FL | 09/2019 | Present |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Naples | FL | 06/2022 | 05/2026 |
| Bank Of America, N.A. | Naples | FL | 06/2022 | 05/2026 |
| Wintrust Bank | Naples | FL | 05/2026 | Present |
| Lpl Financial Llc | Naples | FL | 05/2026 | Present |
1. Investment products and services are offered through LPL Financial LLC using the DBA/trade name Wintrust Investments - Inv Rel - At Reported Business Location (s) - Start Date: 05/2026 2. 05/2026 - Whistling Dixie Farms LLC - Business Owner - Not Inv Related - 20 Hour(s)/Month - 0 Hour(s) During Trading - Naples, FL, 34120 - OBA Start Date: 09/01/2019
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 2010-07-15 |
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