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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2020-01-08 |
Branch Locations
400 Main Street, Rockwell City, IA 50579 • United States
118 W Main Street, Pomeroy, IA 50575 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sws Financial Services | Storm Lake | IA | 07/2011 | 12/2019 |
| Lpl Financial, Llc | Rockwell City | IA | 01/2020 | Present |
| First Community Bank | Rockwell City | IA | 01/2020 | Present |
1. 1/8/2020 - First Community Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 05/13/2021 - iowa Bankers Insurance and Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 4/20/2021 - 10 Hours Per Month/10 Hours During Securities Trading. 3. 08/10/2021 - No Business Name - Not Investment Related - Newell and Fonda, IA - Outside/W-2 Employment - Softball Umpire-Independent Contractor - Start Date: 05/13/2021 - 10 Hours Per Month/0 Hours During Securities Trading - Umping girls softball ages JR High and younger. 3. 10/21/2025 - First Community Agency Services LLC - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date: 09/15/2025 - 20 Hrs/Mth - 10 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-17 |
| S63 | Uniform Securities Agent State Law Examination | 2002-09-30 |
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