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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-09-16 |
| CA | RA | APPROVED | 2003-07-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Lodi | CA | 07/2003 | Present |
1. 12/26/2017 - Phillips Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 07/01/2003 - 160 Hours Per Month / 160 Hours During Trading. 2. 1/12/2018 - Phillips Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 07/01/2003 - 160 Hours Per Month During Securities Trading - Life, Disability, Long Term Care, Fixed Annuities. 3. 5/11/2021 - David Phillips - Not Investment Related - Home Based - Other-Attorney - Start Date: 9/22/2020 - 1 Hours Per Month/1 Hours During Securities Trading - Licensed to practice law in the state of California. 4) 01/06/2025 - Jackson National Life - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:01/06/2025 - 1 Hrs/Mth - 1 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-07-12 |
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