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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2024-03-14 |
| TX | RA | APPROVED_RES | 2022-03-07 |
| FL | RA | APPROVED | 2017-08-21 |
Branch Locations
8903 Regents Park Drive Suite 110, Tampa, FL 33647 • United States
Frankfort, MI • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Independent Insurance Sales Agent | Tampa | FL | 04/2004 | 08/2017 |
| Invest Financial Corp | Tampa | FL | 08/2004 | 08/2017 |
| Lpl Financial Llc | Tampa | FL | 08/2017 | Present |
1) 08/08/2017 - Baughman Financial Group, Inc - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 04/04/2008 - 160 hr/mth 2) 08/08/2017 - owner of current office - Tampa, FL - inv rel - start: 04/01/2015 - 2 hr/mth 3) 12/3/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/12/2018 - 10 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-01-21 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-16 |
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