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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-11-20 |
| WA | RA | APPROVED | 2024-11-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Port Angeles | WA | 04/2015 | Present |
| Financial Advocates Investment Management | Port Angeles | WA | 04/2015 | Present |
1. 4/22/2015 - TM BERGLUND, LLC - Investment Related - At Reported Business Location(s) - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - START 04/16/2015 - 0 Hours Per Month. 2. 12/08/2023 - Sherpa Guided Wealth - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/20/2023 - 160 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-12-15 |
| S63 | Uniform Securities Agent State Law Examination | 2007-01-19 |
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