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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-06-12 |
| CA | RA | APPROVED | 2020-01-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Santa Rosa | CA | 11/2017 | Present |
| Rcu Auto Services | Santa Rosa | CA | 12/2015 | 11/2017 |
1. 5/13/2020 - Kemmerer Peaty Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/01/2020 - 40 Hours Per Month/40 Hours During Securities Trading. 2. 1/24/2023 - CPS Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Producer - Start Date - 02/01/2023 - 10 Hours Per Month/10 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-01-09 |
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