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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2023-06-27 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
4000 S Sprinkle Road, Kalamazoo, MI 49001 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Falcon Broadband, Llc | Colorado Springs | CO | 11/2017 | 07/2018 |
| Plains Cooperative Telephone Assn | Joes | CO | 05/2012 | 10/2017 |
| Cetera Advisors | Denver | CO | 08/2018 | 06/2022 |
| Plan 4 Financial Design | Kalamazoo | MI | 07/2018 | 06/2023 |
| Sigma Financial Corporation | Ann Arbor | MI | 06/2022 | 06/2023 |
| Lpl Financial Llc | Kalamazoo | MI | 06/2023 | Present |
1. 06/23/2023 - Wealth Preservation Center, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 7/2/2018 - Time Spent 5% 2. 07/17/2023 - Plan 4 Financial Design, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 7/2/2018 - 5 Hours Per Month/ 2 Hours During Trading - Time Spent 3% 3. 07/17/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date 7/2/2018 - 8 Hours Per Month/ 2 Hours During Trading - Time Spent 3%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 2018-09-26 |
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