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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2026-03-04 |
| TX | RA | APPROVED | 2026-03-04 |
Branch Locations
8101 E Prentice Ave Ste 775, Greenwood Village, CO 80111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mass Mutual Life Insurance Company | Denver | CO | 05/2018 | 03/2026 |
| Mml Investors Services, Llc | Denver | CO | 08/2018 | Present |
| Unemployed | Denver | CO | 07/2016 | 11/2016 |
| Icon Eyecare | Denver | CO | 11/2016 | 12/2017 |
| Unemployed | Denver | CO | 12/2017 | 05/2018 |
| Lpl Financial Llc | Greenwood Village | CO | 03/2026 | Present |
| Upstream Investment Partners | Greenwood Village | CO | 03/2026 | Present |
1. 2/2026 - Brothers IV, LLC - Business Entity For Tax/Investment Purposes Only - Investment Related - 0 Hour(s)/Month - 0 Hour(s) During Trading - Saint Bernard LA 70085 - OBA Start date: 07/02/2015 2. 2/2026 - Duplessis Wealth advisory LLC - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - Denver CO 80210 - OBA Start date: 3/2/2026 3. 2/2026 - Upstream Investment Partners - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hour(s)/Month - 160 Hour(s) During Trading - At Reported business location(s) - OBA Start date: 3/2/2026
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-12-17 |
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