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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-08-15 |
| CA | RA | APPROVED | 2022-10-26 |
Branch Locations
8506 W Deer Valley Rd Ste 100, Peoria, AZ 85382 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ae Wealth Management, Llc | Topeka | KS | 06/2019 | 07/2022 |
| Independent Wealth Management | Peoria | AZ | 05/2017 | 06/2019 |
| Student | Peoria | AZ | 08/2016 | 05/2017 |
| Lpl Financial | Peoria | AZ | 07/2022 | Present |
1-07/2022 / Rock Martin Private Wealth Management / DBA for LPL Business (entity for LPL business) / Investment Related / PEORIA, AZ 2- 04/30/2024 - Rock Martin Private Wealth Management - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 02/01/2024 - 12 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-10-25 |
| S65 | Uniform Investment Adviser Law Examination | 2019-04-29 |
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