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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-08-31 |
Branch Locations
9220 Fairbanks Rd, Ste 235, Raleigh, NC 27613 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Raleigh | NC | 10/2005 | Present |
1. 08/05/2005 - MITTA FINANCIAL SERVICES - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 2. 10/14/2005 - NON-VARIABLE INSURANCE - INV REL - FIXED INSURANCE PRODUCTS: LIFE, HEATLH, DISABILITY, LTC, FIXED ANNUTIES, UNIVERSAL 3. 02/07/2006 - MITTA FINANCIAL SERVICES, LLC - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 4. 09/08/2006 - PLUS GROUP - NON-VARIABLE INSURANCE - INV REL - 25% TIME SPENT - THE ONLY OUTSIDE ACTIVITY I CURRENTLY HAVE IS DISABILITY INCOME SALES WITH A BROKERAGE AGENCY IN CHARLOTTE, NC 5. 08/23/2010 - Non-Variable Insurance - INV REL - AT REPORTED BUSINESS LOCATION(S) - TIME SPENT 25%. 6. 1/10/2020 - Crump - Investment Related - Crump Life Insurance, 4135 Front St., Harrisburg, PA 17110 - Non-Variable Insurance - Started 10/05/2005 - 40 Hours Per Month/2 Hours During Securities Trading - Life (non variable) sales and an occasional LTC and Fixed Annuity case.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-08-28 |
| S63 | Uniform Securities Agent State Law Examination | 1990-03-05 |
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