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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2023-12-07 |
| OK | RA | APPROVED | 2023-12-07 |
| MA | RA | APPROVED | 2023-07-06 |
| GA | RA | APPROVED | 2023-06-26 |
| IN | RA | APPROVED | 2023-06-21 |
| NC | RA | APPROVED | 2023-06-21 |
| PA | RA | APPROVED | 2023-06-21 |
| RI | RA | APPROVED | 2023-06-21 |
| WA | RA | APPROVED | 2023-06-21 |
| NY | RA | APPROVED | 2023-06-14 |
| FL | RA | APPROVED | 2023-06-06 |
| TX | RA | APPROVED | 2023-06-05 |
Branch Locations
923 E. Klosterman Rd, Tarpon Springs, FL 34689 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| At Your Service Tax & Accounting Of North Pinellas | Tarpon Springs | FL | 01/2009 | 05/2023 |
| Sigma Financial Corporation | Ann Arbor | MI | 07/2014 | 06/2023 |
| Spc | Ann Arbor | MI | 07/2014 | 06/2023 |
| Lpl Financial Llc | Tarpon Springs | FL | 06/2023 | Present |
1. 06/05/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 07/16/2024 - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 03/01/2024 - 5 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-31 |
| S63 | Uniform Securities Agent State Law Examination | 1993-03-18 |
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