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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rafferty Capital Markets, Llc | New York | NY | 05/2014 | 08/2019 |
| Lpl Financial | Brooklyn | NY | 08/2019 | Present |
1. 8/26/2019 - LCJ Associates Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 8/20/2019 - 200 Hour Per Month/7 Hours During Securities Trading. 2. 11/12/2020 - Andrew LaRocca Enterprises Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/5/2020 - 160 Hour Per Month/160 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-10-29 |
| S63 | Uniform Securities Agent State Law Examination | 2014-02-18 |
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