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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-01-31 |
| IA | RA | APPROVED | 2023-12-19 |
Branch Locations
2323 Grand Ave Ste 210, Des Moines, IA 50312 • 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 |
|---|---|---|---|---|
| Securities America, Inc. | West Des Moines | IA | 02/2008 | 12/2023 |
| Securities America Advisors, Inc | West Des Monies | IA | 02/2008 | 12/2023 |
| Bearence Management Group | West Des Moines | IA | 08/2005 | 08/2018 |
| Brokers Clearing House Dba Bearence Management Group | West Des Moines | IA | 01/1996 | 12/2023 |
| Lpl Financial Llc | West Des Moines | IA | 12/2023 | Present |
1) 11/2023 - SA3 Inc. LLC / Business Entity For Tax/Investment Purposes Only / Not Inv. Related / West Des Moines, IA / Start date 04/25/2018 -160 Hrs per month - 100% Time Spent 2) 11/2023 - SA3 Wealth / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent 3) 11/2023 - Life Skillz / Outside/W-2 Employment / Not Inv. Related / Des Moines, IA / Start date 04/05/2023 - 2 Hrs per month - 1% Time Spent 4) 11/2023 - Hallett Financial Group / Non-Variable Insurance / Inv. Related / Minneapolis, MN / Start date 04/01/2012 - 2 Hrs per month - 1% Time Spent 5) 11/2023 - Real Estate Rental / Owner / Inv. Related / 50266, IA / Start date 01/24/2019 - 1 Hrs per month - 1% Time Spent
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-06 |
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