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527 Wellington Way, Ste 225, Lexington, KY 40503 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VI | RA | APPROVED | 2017-05-15 |
| KY | RA | APPROVED | 2014-06-27 |
Branch Locations
Christiansted, VI • United States
527 Wellington Way, Ste 225, Lexington, KY 40503 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Lexington | KY | 06/2014 | Present |
| Keystone Financial Group, Llc | Lexington | KY | 06/2014 | Present |
1. 06/26/2014 - KEYSTONE FINANCIAL GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ LEXINGTON, KY 2. 07/17/2014 - KEYSTONE FINANCIAL GROUP - REGISTERED INVESTMENT ADVISOR - LEXINGTON, KY 3. 11/25/2014 - NGL LIFE INSURANCE CO - NON-VARIABLE INSURANCE - TIME SPENT 10 HOURS PER MONTH - LEXINGTON, KY 4. 12/05/2014 - SEALS FINANCIAL - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - TIME SPENT 5 HOURS PER MONTH -LEXINGTON, KY. 5. 2/20/2019 - Seals Investments VI - Not Investment Related - 133 Cotton Valley, Christiansted VI 00820 - Business Entity For Tax/Investment Purposes Only - Started 01/01/2017 - 160 Hours Per Month/8 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-02-12 |
| S63 | Uniform Securities Agent State Law Examination | 2005-05-16 |
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