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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-11-27 |
| TX | RA | APPROVED | 2018-08-09 |
| KS | RA | APPROVED | 2018-03-28 |
Branch Locations
7007 College Blvd Ste 270, Overland Park, KS 66211 • United States
Olathe, KS • United States
Scottsdale, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Overland Park | KS | 11/2009 | Present |
| Personal Financial Group (Personal Investment Group, Inc) | Overland Park | KS | 10/2009 | 06/2019 |
1. 11/16/2009: OTHER-FAMILY BUSINESS - CFA OIL, LLC - INVESTMENT RELATED - 1% OF TIME SPENT. 2. 8/27/2010: NON-VARIABLE INSURANCE - HEALTH INSURANCE SALES FOR CLIENTS. - INVESTMENT RELATED - 2% OF TIME SPENT - OVERLAND PARK, KS. 3. 8/29/2013: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - PERSONAL FINANCIAL GROUP - INVESTMENT RELATED - OVERLAND PARK, KS. 4. 2/25/2014: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - CLARK WEALTH MANAGEMENT (CWM) - CORPORATION - INVESTMENT RELATED - OVERLAND PARK, KS. 5. 6/5/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Author - Started 05/16/17 - 4 Hours Per Month During Securities Trading - Book Author. 6. 10/23/2018 - OpuVest - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:03/01/2017 - 10 Hours Per Month/10 Hours During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-09 |
| S63 | Uniform Securities Agent State Law Examination | 1991-07-08 |
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