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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-12-06 |
| RI | RA | APPROVED | 2020-10-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self Employed Trader | Wakefield | RI | 01/2015 | 08/2020 |
| Lpl Financial Llc | Wakefield | RI | 09/2020 | Present |
1)09/16/2020 - Frazier Investment Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start:09/2020
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-10-27 |
| S65 | Uniform Investment Adviser Law Examination | 2018-11-07 |
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