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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2019-11-18 |
Branch Locations
5309 Commonwealth Centre Pkwy. Suite 407, Midlothian, VA 23112 • United States
215-A S Main St, Blackstone, VA 23824 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Midlothian | VA | 06/2015 | Present |
(1) 09/06/2016: Notary Commonwealth of Virginia - Notary - Not Investment Related - 5309 Commonwealth Centre Pkwy Suite 401, Midlothian, VA 23112 - Start 02/18/2013 - No Time Spent (2) 09/06/2016: Vaught Financial Services, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - 5309 Commonwealth Center Pkwy Suite 401, Midlothian, VA 23112 - Start 08/25/2016 - 140 Hr/Mo; 20% Time Spent (3) 05/10/2019 - Vaught & Associates Financial Services - Inv related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:01/15/2019 - 160 hrs/mo - 130 hrs during trading. (4) 12/30/2021 - Vaught, Spangler & Associates Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/1/2022 - 160 Hours Per Month/130 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 2017-12-13 |
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