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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OK | RA | APPROVED | 2018-06-04 |
| TX | RA | APPROVED | 2018-06-04 |
Branch Locations
302 S Osage Ave, Bartlesville, OK 74003 • United States
7633 E 63Rd Pl Ste 530, Tulsa, OK 74133 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stotts, Barclay, Pettus, Moore, Whipple | Bartlesville | OK | 09/1982 | Present |
| Cetera Advisors Llc | Denver | CO | 01/2013 | 06/2018 |
| Lpl Financial, Llc | Bartlesville | OK | 06/2018 | Present |
1. 6/4/2018 - ASCENDUS FINANCIAL ADVISORS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 01/01/2016 - Time Spent 100%. 2. 10/12/2021 - Scotts, Archambo, Mueggenborg & Barclay PC - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 09/01/2014 - 25 Hours Per Month During Securities Trading - Normal CPA work. Taxes Audit.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-08-04 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-29 |
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