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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2020-09-24 |
Branch Locations
1272 A Jungermann Road, Saint Peters, MO 63376 • United States
1272 A Jungermann Road, St. Peters, MO 63376 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Samuel E Hard Tax Services | St Peters | MO | 01/1982 | Present |
| Cetera Financial Specialists Llc | Schaumburg | IL | 12/2012 | 07/2017 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 12/2012 | 07/2017 |
| Woodbury Financial Services Inc | St Peters | MO | 07/2017 | 09/2020 |
| Lpl Financial, Llc | Saint Peters | MO | 09/2020 | Present |
1. 9/24/2020 - Samuel E Hard Tax Service - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Started 01/1982 - 8 Hours Per Month/1 Hour During Securities Trading - Time Spent 5%. 2. 9/24/2020 - Common Wealth Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 3. 9/24/2020 - Johnson Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1993-07-13 |
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