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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-08-16 |
| MI | RA | APPROVED | 2019-12-04 |
Branch Locations
2701 Cambridge Ct Ste 530, Auburn Hills, MI 48326 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Jpmorgan Securities Llc | Scottsdale | AZ | 11/2015 | 07/2017 |
| Jp Morgan Chase Bank Na | Scottsdale | AZ | 11/2015 | 07/2017 |
| Centaurus Financial Inc. | Anaheim | CA | 08/2017 | 12/2019 |
| Lpl Financial, Llc | Auburn Hills | MI | 12/2019 | Present |
1. 12/04/2019 - HFG/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 90%/ AUBURN HILLS, MI 2. 12/04/2019 - HERBERT FINANCIAL GROUP LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 90%/ AUBURN HILLS, MI 3. 12/17/2024 - KNC Financial - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2025 - 160 Hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 2015-12-28 |
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