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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2019-01-04 |
Branch Locations
1200 Valley West Drive #401, West Des Moines, IA 50266 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Heartland Capital, Inc. | West Des Moines | IA | 09/1998 | 01/2019 |
| Lpl Financial Llc | West Des Moines | IA | 01/2019 | Present |
1. 1/4/2019 - Wellman Capital Management Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/01/1998 - 40 Hours Per Month/6.5 Hours During Securities Trading - Time Spent 10%. 2. 11/29/2019 - Wellman Capital Management Inc - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/04/2019 - 5 Hours Per Month/0 Hours During Securities Trading - Sales of Life Insurance products.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1990-06-21 |
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