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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-09-06 |
| OR | RA | APPROVED | 2019-03-06 |
| NC | RA | APPROVED | 2019-02-01 |
| OH | RA | APPROVED | 2019-01-29 |
| AL | RA | APPROVED | 2007-08-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Montgomery | AL | 03/1998 | Present |
(1) 5/23/2006: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 2% - Selling individual or group health insurance for Golden Rule Insurance Co. (2) 12/06/2006: Isaiah's Legacy - Not Investment Related - Community, Civic and Charitable Board - Time Spent 1% - Charitable Organization whose primary objective is helping the poor and underprivileged. I am the President with duties to assist with fundraising and distribution of charitable gifts along with administration of organization. (3) 1/22/2015: Legacy Advisors, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/09/1998 - 120 Hours Per Month/100 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 1990-06-01 |
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