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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2021-10-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Security Bank &T | Charles City | IA | 12/2006 | 06/2017 |
| First Citizens Bank | Charles City | IA | 06/2017 | Present |
| Cetera Investment Services Llc | St.CLoud | MN | 06/2017 | 09/2021 |
| Cetera Investment Advisers Llc | Charles City | IA | 08/2021 | 10/2021 |
| Lpl Financial Llc | Charles City | IA | 10/2021 | Present |
| Broker Dealer Investment Services | Charles City | IA | 07/2009 | 06/2017 |
1.10/20/2021; Investment products and services are offered through LPL Financial LLC using the DBA/trade name First Citizens Investment Center; Investment Related; at Reported Business Location(s); Start Date ; hrs/mth; hrs during trading 2.10/20/2021; OTHER-NOTARY; Investment Related; ; Start Date 09/01/2009; 1hrs/mth; 1hrs during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 2010-01-13 |
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