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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-03-31 |
| TX | RA | APPROVED | 2025-03-31 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
10901 W Toller Dr Ste 350, Littleton, CO 80127 • United States
10901 W Toller Dr Ste 350, Littleton, CO 80127 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Lone Tree | CO | 10/2014 | 11/2016 |
| Transamerica Capital, Inc. | Denver | CO | 11/2016 | 07/2019 |
| Transamerica Investors Securities Corporation | Denver | CO | 07/2019 | 10/2019 |
| Transamerica Life Insurance Company | Denver | CO | 11/2016 | 10/2019 |
| Ameriprise Financial Services, Llc | Bulingame | CA | 08/2021 | 03/2025 |
| Fiserv | Denver | CO | 09/2019 | 05/2021 |
| Eq | Denver | CO | 05/2021 | 05/2022 |
| Lpl Financial | Littleton | CO | 03/2025 | Present |
1)11/07/2024 - TRAVERSE WEALTH MANAGEMENT - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)11/07/2024 - PLG MANAGEMEN T LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - Littleton, CO - Start: 02/2023 - 1 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-12-31 |
| S63 | Uniform Securities Agent State Law Examination | 2014-12-22 |
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