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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-27 |
| IA | RA | APPROVED | 2021-12-01 |
Branch Locations
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 |
|---|---|---|---|---|
| Principal Life Insurance Company | Mason City | IA | 05/2012 | 03/2021 |
| Princor Financial Services Corporation | Mason City | IA | 04/2016 | 11/2019 |
| Thrivent Investment Management Inc | Mason City | IA | 02/2021 | 06/2021 |
| Thrivent Financial | Appleton | WI | 03/2021 | 06/2021 |
| Securities America, Inc | Mason City | IA | 06/2021 | 12/2021 |
| Securities America Advisors | Mason City | IA | 06/2021 | 12/2021 |
| Lpl Financial Llc | Mason City | IA | 12/2021 | Present |
1) 12/01/2021 - LAMONT FINANCIAL GROUP - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start Date 6.28.21 - 10 Hours Per Month/ .5 Hours During Trading 2) 12/01/2021 - WRIGHT ON THE PARK - Non-Profit Board Member - Non-Inv Rel - Mason City, IA - Start: 08/2021 3) 12/01/2021 - GOOD SHEPHARD HEALTH CENTER BOARD - Non-Profit Board Member - Non-Inv Rel - Mason City, IA - Start: 12/2021 4) 12/2/2021 - Lamont Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 5) 08/19/2024 - Amy Dixon - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 09/14/2024 - 0 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-03-29 |
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