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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2021-11-02 |
| TX | RA | APPROVED | 2021-11-02 |
Branch Locations
5555 Erindale Dr Ste 100, Colorado Springs, CO 80918 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
5555 Erindale Dr Ste 100, Colorado Springs, CO 80918 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Heritage Capital Concepts Llc | Colorado Springs | CO | 04/1990 | Present |
| Ohio National Financial Services | Cincinnati | OH | 01/2016 | 11/2021 |
| The On Equity Sales Complany | Cincinnati | OH | 03/2019 | 11/2021 |
| Lpl Financial, Llc | Colorado Springs | CO | 11/2021 | Present |
1) 12/2016 - DBA for LPL Business (entity for LPL business) - Heritage Capital Concepts LLC - Investment Related - Colorado Springs, CO 80918 2) 12/2016 - Insurance Agency - Heritage Capital Concepts, LLC - Investment Related - Colorado Springs, CO 80918 3) 12/2016 - Non-Variable Insurance - Steven Paradis - Investment Related - Colorado Springs, CO 80918
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-11-05 |
| S63 | Uniform Securities Agent State Law Examination | 2020-10-08 |
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