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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-09-16 |
| UT | RA | APPROVED | 2024-09-16 |
Branch Locations
2100 W Pleasant Grove Blvd Suite 330, Pleasant Grove, UT 84062 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 03/2005 | 09/2024 |
| Northwestern Mutual Investment Services Llc | Provo | UT | 07/2005 | 09/2024 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2016 | 09/2024 |
| Lpl Financial Llc | Pleasant Grove | UT | 09/2024 | Present |
1)09/16/2024 - Author /Biography / Non Inv Related / Start date 01/01/2024 2) 09/16/2024- Non-Variable Insurance / Insurance / Inv. Related / Pleasant Grove, UT / Start date 01/01/2006 - 20 Hrs per month 8hrs during Trading - 20% Time Spent 3) 09/16/2024 - Real Estate Rental / Owner / Inv. Related / UT 84097 / Start date 01/01/2024 - 1 Hrs per month - 1 % Time Spent 4) 09/16/2024 - Happier Wealth / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) - Start date:09/16/2024 160hrs/mnth 8hrs during Trading 5. 10/17/2025 - Other - Speaking Engagement - Orem, UT - Not Inv rel - Start date: 11/7/2025 - 1hrs/mnth 1hr during Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 2005-08-02 |
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