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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-02-04 |
| MO | RA | APPROVED | 2017-11-29 |
Branch Locations
3451 St Albans Road Suite C, Saint Albans, MO 63073 • United States
Bonne Terre, MO • United States
Farmington, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Bonne Terre | MO | 10/2007 | 11/2017 |
| Lpl Financial Llc | Bonne Terre | MO | 11/2017 | Present |
1. 11/29/2017 - K&J Investment Properties - Not Investment Related - Farmington, MO - Real Estate Rental - Start Date 1997 - 2 Hours Per Month - Bookkeeping. 2. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Paid at the agent level. 3. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Agent for Pacific Life. 4. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 2 Hours Per Month During Securities Trading - Agent for Alliance Life. 5. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Acting as individual agent of North American. 6. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Agent for Protective Life. 7. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Agent for Mass Mutual. 8. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Agent for American General. 9. 12/12/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/21/2018 - 1 Hour Per Month During Securities Trading - Agent for Lincoln National. 10. 1/30/2023 - Resource One - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/07/2022 - 10 Hours Per Month/2 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 1993-03-22 |
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