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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-11-14 |
| NM | RA | APPROVED | 2017-01-12 |
Branch Locations
2019 Galisteo St., Ste N10A, Santa Fe, NM 87505 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Felix Group Inc | Santa Fe | NM | 07/2008 | 06/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Santa Fe | NM | 03/2015 | 11/2016 |
| Bank Of America, N.A. | Sante Fe | NM | 11/2015 | 11/2016 |
| Lpl Financial Llc | Santa Fe | NM | 01/2017 | Present |
1. 3/31/2021 - Felix Property Management - Not Investment Related - Home Based - Other-Business Owner - Property Manager - Started 01/01/2021 - 2 Hours Per Month/0 Hours During Securities Trading - The proposed company will be an intermediary between a commercial property owner and commercial renter. 2. 09/25/2025 - David Wharram Financial LLC - Business Entity For Tax/Investment Purposes Only - At reported business Location(s) - Not Inv rel - Start date: 11/1/2024 - 1Hours Per Month/1 Hours During Securities Trading 3. 06/18/2026 - David Wharram - Real Estate Rental - Investment Related - Santa Fe, NM - Start Date 06/15/2026 - 1 hour per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-10-01 |
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