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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-11-25 |
| IA | RA | APPROVED | 1999-01-01 |
Branch Locations
1200 Valley West Dr, Suite 707, West Des Moines, IA 50266 • United States
Dubuque, IA • United States
1200 Valley West Drive Suite 707, West Des Moines, IA 50266 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2022-03-21 |
| IA | RA | APPROVED | 2019-07-02 |
Branch Locations
1200 Valley West Drive Suite 707, West Des Moines, IA 50266 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | West Des Moines | IA | 07/1998 | Present |
| Retireright, Llc | West Des Moines | IA | 07/2019 | Present |
1. 7/9/1998 - MASS MUTUAL - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 0%. 2. 7/29/2004 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - INSURANCE (NON-VARIABLE) - INVOLVED W/ OUTSIDE SALES OF NON-VARIABLE INSURANCE. 3. 6/9/2008 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 1% - Sale of LTC Insurance through a local Insurance Brokerage office. 4. 4/3/2014: PROVIDENT INVESTMENT CONSULTANTS, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 5. 3/24/2017: Retire Right - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/15/2017 - 150 Hours Per Month During Securities Trading. 6. 4/22/2019 - RetireRight Consulting Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/17/2019 - 40 Hours Per Month During Securities Trading. 7). 07/11/2019 - RetireRight, LLC - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - start date:07/08/2019 - 40 hrs/mo - 40 hrs during trading - IAR - I provide investment advisory services through Retireright, LLC., an independent investment advisor firm. I started this business activity in 7/2019. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 8. 07/11/2019 - RetireRight LLC - DBA:(Hybrid) RetireRight Consulting Group - IAR - Investment related - At reported business location(s) - Registered Investment Advisor DBA - start date:07/08/2019 - 40 hrs/mo - 40 hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1989-12-12 |
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