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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-01-15 |
| OR | RA | APPROVED | 2025-07-01 |
Branch Locations
39085 Pioneer Blvd, Ste 1001, Sandy, OR 97055 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 05/2011 | 06/2017 |
| Lpl Financial, Llc | Sandy | OR | 07/2017 | Present |
| Financial Advocates Investment Management | Sandy | OR | 07/2017 | Present |
1. 7/24/2017 - FINANCIAL ADVOCATES INVESTMENT MANAGEMENT - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - IAR - started 6/23/2017 - 120 Hours per month/0 Hours during trading - Time spent percent 0% - I provide investment advisory services through FINANCIAL ADVOCATES INVESTMENT MANAGEMENT, an independent investment advisor firm. I started this business activity in 7/2017. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 8/0/2017 - FOCUSED FINANCIAL MANAGEMENT GROUP - Investment related - At reported business location(s) -Registered Investment Advisor DBA - IAR - started 6/23/2017 - 120 Hours per month/6 Hours during trading -Time spent percent 70%. 3. 6/4/2018 - Focused Financial Management Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - IAR - Start Date: 05/03/2018 - 160 Hours Per Month/100 Hours During Securities Trading. 4. 7/21/2021 - No Business Name - Not Investment Related - 28716 SE Wheeler Rd, Boring, OR 97009 & The Villages, FL - Real Estate Rental - Start Date: 6/24/2021 - 1 Hours Per Month/0 Hours During Securities Trading - Rental property. 5. 7/24/2017; FOCUSED FINANCIAL MANAGEMENT GROUP - DBA name only for Financial Advocates Investment Management (FAIM)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-07-07 |
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