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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-08-20 |
| ME | RA | APPROVED | 2002-05-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Waterville | ME | 10/1996 | Present |
(1) 06/29/1998 - Golden Pond Financial - INV REL - AT REPORTED BUSINESS LOCATION - Non-Variable Insurance. (2) 11/15/2002 - GOLDEN POND WEALTH MANAGEMENT - INV REL - AT REPORTED BUSINESS LOCATION - DBA for LPL Business (entity for LPL business) - GOLDEN POND WEALTH MANAGEMENT. (3) 11/01/2017 - Tres Reyes - Investment Related - Location: Not applicable at this time - Other - Business Owner - Start Date 01/02/2012 - 0 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-01-30 |
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