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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-04 |
| FL | RA | APPROVED | 2025-01-28 |
| IL | RA | APPROVED | 2025-01-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wayne Hummer Investments | Chicago | IL | 05/2003 | 01/2025 |
| Lpl Financial Llc | Lake Forest | IL | 01/2025 | Present |
1. 01/2025- Wintrust Investments- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 10/01/2024- 160 Hours Per Month- 160 Hours During Trading 2. 01/2025- GLA- Outside/W-2 Employment- INV Related- At Illinois- Start date 10/01/2024- 160 Hours Per Month- 160 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-08-03 |
| S63 | Uniform Securities Agent State Law Examination | 1993-05-10 |
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