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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-03-22 |
Branch Locations
802 N Carancahua St, Ste 220, Corpus Christi, TX 78401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Corpus Christi | TX | 04/2016 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Corpus Christi | TX | 11/2016 | 03/2024 |
| Lpl Financial Llc | Corpus Christi | TX | 03/2024 | Present |
1- 03/22/2024 / Spotlight Financial / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s). 2- 05/01/2024 - Total Return Asset Management - Non-Inv Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started: 2/1/2024 - 2 Hrs/Mo; 0 Hr During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-05 |
| S63 | Uniform Securities Agent State Law Examination | 1991-12-20 |
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