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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-08-12 |
| KS | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self-Employed | Wichita | KS | 11/2002 | 12/2018 |
| Textron Aviation | Wichita | KS | 03/2015 | 07/2018 |
| Self-Employed | Wichita | KS | 07/2018 | 12/2018 |
| Waddell & Reed, Inc. | Wichita | KS | 01/2019 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Wichita | KS | 03/2019 | 07/2021 |
| Michael Dennis | Wichita | KS | 05/2019 | 07/2021 |
| Lpl Financial Llc | Wichita | KS | 07/2021 | Present |
1. 03/04/2025- No Business Name- Other - PRECINCT COMMITTEEMAN- Not INV Related- At Reported Business Location(s)- Start date 08/06/2024- 5 Hours Per Month- 5 Hours During Trading 2. 03/05/2025- RIVERCITY FINANCIAL- DBA for LPL Business (entity for LPL business)- RIVERCITY FINANCIAL, LLC- INV Related- At Reported Business Location(s)- Start date 01/19/2025- 200 Hours Per Month- 100 Hours During Trading 3. 12/23/2025 - OAK FINANCIAL - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/15/2025 - 200 hours per month/ 100 hours during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-07 |
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