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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-10-17 |
| CA | RA | APPROVED | 2021-07-21 |
| MN | RA | APPROVED | 2021-07-21 |
| MO | RA | APPROVED | 2021-07-21 |
| ND | RA | APPROVED | 2021-07-21 |
| WA | RA | APPROVED | 2021-07-21 |
| WI | RA | APPROVED | 2021-07-21 |
Branch Locations
130 W Superior St, Ste 750, Duluth, MN 55802 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Duluth | MN | 06/2012 | 07/2021 |
| Various Insurance Carriers For W & R Insurance Agencies | Two Harbors | MN | 04/2013 | 07/2021 |
| Anne Holy | Duluth | MN | 01/2015 | 07/2021 |
| Jade Swanson | Two Harbors | MN | 01/2013 | 07/2021 |
| Lpl Financial Llc | Duluth | MN | 07/2021 | Present |
1) 2013 - Non-Variable Insurance / Waddell & Reed or LPL Financial / Investment Related / 5% / Duluth, MN 55802 2) 2013 - Other / Notary / Jade Swanson / 1% / Investment Related / Duluth, MN 55802 3) 09/23/2022 - Associates of Clifton Park - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 09/01/2022 - 2 Hours Per Month/2 Hours During Securities Trading 4) 10/09/2024 - Viridian Wealth - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/01/2024 - 40 Hours per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-02-14 |
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