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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-07-21 |
| WA | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Tacoma | WA | 11/2004 | 07/2021 |
| Various Insurance Carriers For W & R Insurance Agencies | Tacoma | WA | 02/2005 | 07/2021 |
| Tacoma Business Connection | Tacoma | WA | 04/2008 | 08/2020 |
| Tacoma Area Coalition Of Ind'S With Disabilities | Tacoma | WA | 05/2012 | 08/2020 |
| 1102 Broadway 300 Llc | Tacoma | WA | 10/2019 | 07/2021 |
| Stadium Wealth Management Llc | Tacoma | WA | 10/2020 | 07/2021 |
| Lpl Financial Llc | Tacoma | WA | 07/2021 | Present |
1) 11/2019 - Real Estate Rental - 1102 Broadway 300 LLC - Not Investment Related - 1102 Broadway Ste 300 Tacoma, WA 98402 2) 10/2020 - DBA for LPL Business (entity for LPL business) - Stadium Wealth Management LLC - Investment Related - Tacoma, WA 98402 3) 2005 - Non-Variable Insurance - John Bailey - Investment Related - 10 hr/mon - Tacoma, WA 98402 4) 05/04/2023 - Stadium Wealth Management - Investment Related - At Reported Business Location(s) - Real Estate Rental - Start Date 06/01/2023 - 0 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 2004-11-30 |
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