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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2023-07-12 |
Branch Locations
219 West Market Street, Warsaw, IN 46580 • United States
2034 E Center St, Warsaw, IN 46580 • United States
514 N Main St, North Webster, IN 46555 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwest Bank (Formerly: Mutualbank) | Warsaw | IN | 12/2018 | 01/2022 |
| Pnc Bank | Warsaw | IN | 01/2017 | 10/2018 |
| Woodforest Bank | Elkhart | IN | 06/2016 | 12/2016 |
| Lpl Financial Llc | Warsaw | IN | 06/2020 | 01/2022 |
| Harbour Investments, Inc | Madison | WI | 01/2022 | 04/2022 |
| Foster Financial | Fort Wayne | IN | 01/2022 | 04/2022 |
| Lpl Financial Llc | Mishawaka | IN | 06/2022 | Present |
| Northwest Bank | Mishawaka | IN | 06/2022 | Present |
1) 06/22/2022 - Notary - State of IN - Start: 04/22/2019 - Investment Related - Time Spent 1% 2) 06/22/2022 - Northwest Investment Services - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 06/2022 3) 09/12/2025 - Northwest Bank - Not Investment Related - Financial Institution Duty - At Reported Business Location(s) - Start Date:06/20/2022 - 160 Hrs/Mth - 160 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 2020-09-11 |
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