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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-07-19 |
| CA | RA | APPROVED | 2023-07-19 |
| CO | RA | APPROVED | 2023-07-19 |
| WY | RA | APPROVED | 2023-07-19 |
Branch Locations
395 N Executive Dr, Brookfield, WI 53005 • United States
Phoenix, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chandler | AZ | 03/2017 | 08/2018 |
| Randstad, Inc. [Vanguard] | Scottsdale | AZ | 05/2016 | 03/2017 |
| Arizona State University | Glendale | AZ | 08/2015 | 04/2017 |
| Bancwest Investment Services | Tempe | AZ | 08/2018 | Present |
| Bank Of The West | Tempe | AZ | 08/2018 | Present |
| Lpl Financial Llc | Tempe | AZ | 07/2023 | Present |
1) 05/01/2023 - BMO Investment Services - Investment Related - At Reported Business Locations - DBA for LPL Business (entity for LPL business)
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-11 |
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