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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2009-07-02 |
| OK | RA | APPROVED | 2008-06-17 |
Branch Locations
3 disclosure categories 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 | Tulsa | OK | 06/2008 | Present |
1. 5/4/2012 - DW FINANCIAL SERVICES, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 01/05/2024 - Lawman Shave Products - Other - Business Owner - Owner - Not Investment Related - Home Based - Start Date 12/06/2023 - 10 Hours Per Month/ 0 Hours During Trading 3. 07/17/2024 - Other - Book publication - Investment Related - Home Based - Start Date 07/23/2024 - 10 hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-12-16 |
| S63 | Uniform Securities Agent State Law Examination | 1991-06-19 |
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