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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2022-01-26 |
| LA | RA | APPROVED | 2022-01-26 |
| TX | RA | APPROVED | 2021-08-24 |
Branch Locations
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 | Lubbock | TX | 11/2012 | Present |
| Level Four Advisory Services, Llc | Lubbock | TX | 11/2012 | 08/2021 |
1. 10/25/2012 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - 40% TIME SPENT - LIFE, HEALTH, DISABILITY. 2. 9/15/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start 10/02/2017 - 5 Hours Per Month/0 Hours During Securities Trading - Assistant to preparer - Mason Warner CPA's Inc. 3. 8/20/2021 - MWC Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 8/18/2021 - 160 Hours Per Month/30 Hours During Securities Trading. 4. 04/26/2024 - No Business Name - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started: 10/1/1984 - 5 Hrs/Mo; 1 Hr During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-08-10 |
| S63 | Uniform Securities Agent State Law Examination | 2000-09-15 |
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