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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-09-30 |
| IL | RA | APPROVED | 2023-02-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Country Financial | Moline | IL | 07/2011 | 11/2018 |
| Morgan Stanley Smith Barney Llc | Davenport | IA | 12/2018 | 01/2023 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 04/2019 | 01/2023 |
| Deere Employees Credit Union | Moline | IL | 01/2023 | Present |
| Lpl Financial | Moline | IL | 02/2023 | Present |
1)02/07/2023 - DECU Investment & Retirement Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 05/01/2023 - Empeople Investment & Retirement Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 04/01/2023 - 160 Hours Per Month/160 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-02-18 |
| S63 | Uniform Securities Agent State Law Examination | 2011-10-20 |
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