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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-05-17 |
| TX | RA | APPROVED_RES | 2023-05-15 |
Branch Locations
5206 W Elm St Ste 100, Mchenry, IL 60050 • United States
423 Financial Ct, Rockford, IL 61107 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sigma Financial Corporation | Ann Arbor | MI | 08/2014 | 05/2023 |
| Sigma Planning Corporation | Ann Arbor | MI | 08/2014 | 05/2023 |
| Lpl Financial Llc | Rockford | IL | 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. 06/12/2023 - PineRidge Acres LLC - Not Investment Related - Amboy, IL - Business Entity For Tax/Investment Purposes Only - Co-Owner - Start Date 10/12/1992 - Time Spent 2% 3. 03/19/2026 - Koch Financial Group LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Sublette, IL - Start Date 10/14/2025 - 120 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 2000-06-08 |
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