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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-01-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pnc Investments | Naples | FL | 09/2014 | 01/2019 |
| Wintrust Investments Llc | Chicago | IL | 01/2019 | 01/2025 |
| Lpl Financial Llc | Naples | FL | 01/2025 | Present |
1- 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 09/27/2024- 160 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-04-22 |
| S63 | Uniform Securities Agent State Law Examination | 2005-06-02 |
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