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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2010-04-14 |
| TX | RA | APPROVED_RES | 2006-09-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Ludington | MI | 02/2002 | Present |
(1) 06/21/2007: "Erin S. Doan Agency-State Farm" - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 1% Time Spent - split commission OBA with State Farm Agent Erin S. Doan on Fixed Insurance Business ONLY. He is series 6 and 63 licensed and my brother-in-law. We would NOT split any variable business. (2) 08/03/2016: No Business Name - Notary - Investment Related - At Reported Business Location(s) - Started 08/02/2016 - 0 Hr/Mo - Notary Public (3) 09/15/2022 - Ruba Financial Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/12/2022 - 200 Hours Per Month/8 Hours During Securities Trading (4) 04/28/2023 - Amber Acres, LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Start Date 09/15/2022 - 1 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-31 |
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