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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Lincoln | NE | 01/2005 | 07/2021 |
| Various Insurance Carriers For W & R Insurance Agencies | Lincoln | NE | 04/2005 | 07/2021 |
| Kam Enterprises | Lincoln | NE | 01/2011 | 07/2021 |
| 37 Wealth | Lincoln | NE | 01/2019 | 07/2021 |
| 37 Tax, Inc | Lincoln | NE | 10/2020 | 07/2021 |
| Lpl Financial Llc | Lincoln | NE | 07/2021 | Present |
1) 11/2018- 37 Wealth, Inc- DBA for LPL Business (entity for LPL business)- inv. related- Lincoln, NE 2) 1/2011- KAM Enterprises, Inc.- Business Entity For Tax/Investment Purposes Only- non-inv. related- Lincoln, NE -0hrs/mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 2005-02-01 |
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