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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-04-25 |
| IA | RA | APPROVED | 2010-09-08 |
Branch Locations
2700 Westown Pkwy Ste 405, West Des Moines, IA 50266 • United States
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 | West Des Moines | IA | 07/2002 | Present |
(1) 08/22/2013: Harrold Wealth Management Inc. - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s) (2) 08/01/2016: No Business Activities - Real Estate Rental - INV REL - 6255 Beechtree Dr, West Des Moines, Ia 50266 - Started 01/01/2009 - I own a condo that my mother lives in and pays me rent to help cover the costs. - 1 Hr/Mo; 0 Hours During Securities Trading. (3) 2/2/2017 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Notary - Started 02/11/2015 - 1 Hour Per Month During Securities Trading. (4) 09/30/2022 - No Business Name - Investment Related - Surprise, AZ 85374 - Real Estate Rental - Start Date - 01/02/2023 - 0 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-09-07 |
| S63 | Uniform Securities Agent State Law Examination | 1990-08-09 |
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