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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-18 |
| TX | RA | APPROVED_RES | 2022-05-24 |
| IL | RA | APPROVED | 2022-01-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | Northbrook | IL | 06/2009 | 01/2022 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 01/2022 |
| Lpl Financial Llc | Northbrook | IL | 01/2022 | Present |
| Morgan Stanley Private Bank, N.A | New York | NY | 01/2015 | 01/2022 |
1) 1/2022- Velos Wealth Management- DBA for LPL Business (entity for LPL business)- inv. related- NORTHFIELD, IL 2) 07/23/2024 - Non-Inv Related - At Reported Business Location(s) - Notary Public - Started: 4/1/2024 - 1 Hr/Mo During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-02-18 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-18 |
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