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858 Camp Street, New Orleans, LA 70130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2023-12-20 |
| TX | RA | APPROVED | 2018-12-05 |
| ND | RA | APPROVED | 2018-05-08 |
Branch Locations
858 Camp Street, New Orleans, LA 70130 • United States
4909 Stockholm Lp, Bismarck,, ND 58503 • 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 |
|---|---|---|---|---|
| Investment Centers Of America, Inc. | Bismarck | ND | 10/1992 | 11/2017 |
| Lpl Financial Llc | Bismarck | ND | 11/2017 | Present |
| Newedge Advisors, Llc (Gwm Advisors, Llc) | Bismarck | ND | 04/2018 | Present |
1. 11/29/2017 - Planningteam Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 2007. 2. 9/12/2018 - Planningteam Financial Advisors - DBA: (Hybrid) GWM Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 04/18/2018 - 20 Hours Per Month/12 Hours During Securities Trading. 3. 9/12/2018 - GWM Advisors, LLC - DBA: (Hybrid) Planningteam Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 04/18/2018 - 20 Hours Per Month During Securities Trading - Time Spent 12% - I provide investment advisory services through NewEdge Advisors, LLC, an independent investment advisor firm. I started this business activity in 04/2018. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 2/9/2022 - NewEdge Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 09/12/2018 - 10 Hours Per Month/10 Hours During Securities Trading - I provide investment advisory services through NewEdge Advisors, LLC, an independent investment advisor firm. I started this business activity in 9/2018. I expect to spend approximately 10 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 08/04/2023 - DARCY SALTER, INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 1992-12-05 |
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