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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2025-01-14 |
| TX | RA | APPROVED_RES | 2021-04-05 |
| NC | RA | APPROVED | 2011-07-05 |
Branch Locations
714 Oakland St, Hendersonville, NC 28791 • United States
Kokomo, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Asheville Savings Bank | Hendersonville | NC | 11/2009 | 02/2018 |
| Lpl Financial Llc | Hendersonville | NC | 07/2011 | Present |
| Hometrust Bank | Hendersonville | NC | 11/2017 | Present |
1. 1/20/2021 - IAMS, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Producer - Started 01/19/2021 - 4 Hours Per Month During Securities Trading 2. 08/17/2023 - Westland Financial Services, Inc - Non-Variable Insurance - Producer - Investment Related - At Reported Business Location(s) - Start Date 08/07/2023 - 8 Hours Per Month/ 1 Hour During Trading 3. 09/22/2025 - SWF FINANCIAL SERVICES, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 01/01/2025 - 40 Hours Per Month/ 40 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-11-13 |
| S65 | Uniform Investment Adviser Law Examination | 1999-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-06 |
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