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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-10-25 |
| MA | RA | APPROVED | 2016-03-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Salem Five Cent Savings Bank | Boston | MA | 02/2016 | Present |
| Lpl | Salem | MA | 03/2016 | Present |
1. 03/01/2016 - LV-Immobilia/ Real Estate Rental/ Las Vegas, NV / Investment Related 2. 03/01/2016 - Real Estate Rental - Investment Related - Las Vegas, NV 3. 03/01/2016 - Celgene Corporation/ Outside/W-2 Employment/ Not Investment Related - Swampscott, MA - 10 Hours per Month/ 2 Hours During Trading 4. 03/01/2016 - Salem Five Investment Services/DBA for LPL Business (entity for LPL business)/ Investment Related - At Reported Business Location(s) 5. 06/07/2016 * DBA for LPL Business (entity for LPL business) * Salem Five Financial * inv rel * At Reported Business Location(s) * start 04/01/2016 * 160 hrs/mo; 6 hrs during secs trdg hrs. 6. 05/29/2024 - Salem Five Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/23/2024 - 160 Hours Per Month/ 6 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2016-04-12 |
| S65 | Uniform Investment Adviser Law Examination | 2012-03-16 |
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