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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-06-17 |
| RI | RA | APPROVED | 2018-03-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | New London | CT | 01/2012 | 03/2018 |
| Lpl Financial Llc | Wakefield | RI | 03/2018 | Present |
1) 3/23/18- Frazier Investment Mangement- DBA for LPL Business (entity for LPL business)- Inv. Related- Wakefield, RI- 95% 2) 01/16/2024 - Outside/W-2 Employment - Model - Not Investment Related - Jamestown, RI - Start Date 07/19/2023 - 1 Hour Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-03-30 |
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