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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-06-26 |
| OH | RA | APPROVED | 2019-04-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Coldwell Banker West Shell | Cincinnati | OH | 01/1996 | Present |
| Capital Concepts Inc | Harrison | OH | 10/2011 | Present |
| Lpl Financial, Llc | Harrison | OH | 04/2018 | Present |
1. 5/22/2018 - CAPITAL CONCEPTS - Investment Related - At Reported Business Location(s) - DBA for LPL Business(entity for LPL Business) - Started 10/01/2011 - 168 Hours Per Month/8 Hours During Securities Trading - Time Spent 35%. 2. 5/22/2018 - COLDWELL BANKER WEST SHELL - Investment Related - 6700 Ruwes Oak, Cincinnati, OH 45248 - Mortgage/Real Estate Services - Realtor - Started 1/01/1996 - 108 Hours Per Month/1 Hour During Securities Trading - Time Spent 15% - Residential and occasional commercial. 3. 6/10/2020 - Darryl and Sandy LLC - Investment Related - 9676 Dry Fork Rd, Harrison, OH 45030 - Real Estate Rental - Started 04/27/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Purchased office building. 4. 8/11/2020 - Capital Concepts, INC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 7/1/2020 - 40 Hours Per Month/40 Hours During Securities Trading. 5. 02/08/2022 - Tax Concepts - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner, Tax preparer - Start Date: 01/24/2022 - 40 Hours Per Month/2 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-03-26 |
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