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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-05-03 |
| TX | RA | APPROVED_RES | 2024-05-02 |
Branch Locations
22237 S Ellsworth Rd, Queen Creek, AZ 85142 • United States
Queen Creek, AZ • United States
1300 N Mcclintock Dr Ste A, Chandler, AZ 85226 • 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 |
|---|---|---|---|---|
| Ubs Financial Services Inc. | Phoenix | AZ | 05/2012 | 11/2017 |
| University Of Phoenix | Tempe | AZ | 08/1998 | Present |
| Kestra Investment Services | Chandler | AZ | 11/2017 | 04/2024 |
| Kestra Private Wealth Services | Chandler | AZ | 11/2017 | 04/2024 |
| Lpl Financial Llc | Chandler | AZ | 05/2024 | Present |
1. 04/09/2024- Modernize Wealth- DBA for LPL Business (entity for LPL business)- At Reported Business Location (s)- Inv Rel 2. 04/09/2024- Modernize wealth LLC- Business Entity For Tax/Investment Purposes Only- AZ 85224- Non Inv Rel- 160 hrs per mnth- 40 hrs during trading- Start Date 12/27/2017
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-08 |
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