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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2024-07-26 |
| TX | RA | APPROVED | 2024-07-26 |
Branch Locations
7761 Shaffer Pkwy Ste 100, Littleton, CO 80127-3729 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nexbank Securities, Inc. | Dallas | TX | 08/2015 | 06/2017 |
| Ptx Securities, Llc | Plano | TX | 06/2017 | 12/2019 |
| Sealy Investment Securities, Llc | Dallas | TX | 12/2019 | 02/2020 |
| Jcc Advisors Llc | Laguna Niguel | CA | 02/2020 | 02/2021 |
| Phoenix American Hospitality | Dallas | TX | 02/2020 | 02/2021 |
| Fidelity Investments | Westlake | TX | 02/2021 | 06/2021 |
| Ameriprise Financial Services, Llc | Arlington | TX | 07/2021 | 07/2022 |
| Fisher Investments | Plano | TX | 09/2022 | 07/2024 |
| Lpl Financial | Littleton | CO | 07/2024 | Present |
1 - 07/25/2024 - Cooke Wealth Strategies Group LLC - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - At reported business location(s). 2 - 07/25/2024 - DUBL - Other - Not Inv Related - CO 80126 - OBA Start Date: 04/15/2018. 3 - 07/25/2024 - DUBL - For-Profit Board Member - Not Inv Related - CO 80126 - OBA Start Date: 04/15/2018. 4 - 04/08/2025 - The Wealth Strategies Group - Investment Related - DBA for LPL Business (entity for LPL business) - Littleton, CO 80123 - Start Date: 06/03/2024 - 160 Hrs/Mth - 160 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-12-04 |
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