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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2021-12-16 |
| NC | RA | APPROVED | 2020-03-05 |
Branch Locations
7000 Harps Mill Rd Ste 103, Raleigh, NC 27615-3241 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services, Llc | Durham | NC | 06/2016 | 03/2017 |
| Fidelity Brokerage Services, Llc | Raleigh | NC | 03/2017 | 07/2018 |
| Fidelity Brokerage Services, Llc | Raleigh | NC | 07/2018 | 09/2019 |
| Unemployed | Raleigh | NC | 09/2019 | 02/2020 |
| Lpl Financial Llc | Raleigh | NC | 03/2020 | Present |
1)3/3/20- COMPASS FINANCIAL GROUP- DBA for LPL Business (entity for LPL business)- Inv. Related- Raleigh, NC -160hrs/mth -100% 2)3/3/20- Notary Public- Inv. Related- Raleigh, NC- start date 4/15/2018- 0hrs/mth
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-05-10 |
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