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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 1999-11-02 |
Branch Locations
2400 N. Grandview Blvd, Waukesha, WI 53188 • United States
2309 Fox Run Blvd, Waukesha, WI 53188 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Waukesha | WI | 11/1999 | Present |
(1) 11/29/2012: Credit Union - Financial Institution Duty - INV REL - At Reported Business Location(s) - Landmark Investment Center - No Time Spent (2) 01/03/2013: No Business Name - DBA for LPL Business (entity for LPL business) - Landmark Investment Center - INV REL - At Reported Business Location(s) (3) 03/20/2015: Aswell Supply - Other-Business Franchise Owner - NOT INV REL - Start 04/01/2015 - 1115 Milwaukee St., Delafield, WI 53018 - My wife is owner / sales person for a Winzer Franchise. Franchise name is Aswell Supply offering Fasteners and cleaning supplies - 0 Hr/Mo. (4) 2/27/2020 - No Business Name - Investment Related - Lake Linden, MI 49945 - Real Estate Rental - Start Date: 04/18/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Very occasional Rental of our family Cabin in the Upper Peninsula of Michigan. (5) 08/29/2022 - No Business Name - Investment Related - Delafield, WI 53018 - Real Estate Rental - Start Date - 09/01/2022 - 10 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-04-01 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-02 |
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