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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2022-07-25 |
| TX | RA | APPROVED | 2007-09-21 |
Branch Locations
15115 Park Row St. Suite 118, Houston, TX 77084 • 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 |
|---|---|---|---|---|
| Lpl Financial Llc | Houston | TX | 09/2007 | Present |
1. 09/19/2007: THOUGHTFUL BASKETS BY JOHANNE - 1% OF TIME SPENT - SMALL GIFT BASKET BUSINESS 2. 09/19/2007: FIVE POINT SOLUTIONS - NOT INV REL - BUSINESS OWNER - 1% OF TIME SPENT - CONSULTING: EMPLOYEE TRAINING AND DEVELOPMENT 3. 09/19/2007: ADVANCIAL INVESTMENT SERVICES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) 4. 05/10/2011: NO BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - 10% OF TIME SPENT - SELL INSURANCE PRODUCTS: LIFE, HEALTH, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES. 5. 12/28/2020 - TownshipFuture - Not Investment Related - Home Based - Non-Profit Board Member - Start Date: 9/21/2020 - 10 Hours Per Month/0 Hours During Securities Trading - Steering committee member.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 1992-08-18 |
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