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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2020-07-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, N.A. | Bismarck | ND | 09/2005 | 07/2020 |
| Wells Fargo Advisors Llc | Bismarck | ND | 11/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Bismarck | ND | 11/2016 | 07/2020 |
| Lpl Financial, Llc | Bismarck | ND | 07/2020 | Present |
| Cornerstone Bank | Bismarck | ND | 07/2020 | Present |
1. 7/16/2020 - CORNERSTONE FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 7/16/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Started 11/03/2003 - Time Spent 2%. 3. 3/16/2021 - CORNERSTONE BANK - Investment Related - At Reported Business Location(s) - Financial Institution Duty - VP/Private Banker - Started 07/17/2020 - 150 Hours Per Month/7 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-09-24 |
| S65 | Uniform Investment Adviser Law Examination | 2011-09-19 |
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