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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-11-10 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc | New York | NY | 05/2015 | 03/2017 |
| Mml Investors Services, Llc | New York | NY | 03/2017 | 12/2019 |
| First Allied Securities, Inc. | San Diego | CA | 12/2019 | 09/2022 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 03/2021 | 11/2025 |
| Cetera Advisors Llc | New York | NY | 09/2022 | 11/2025 |
| Dm Asset Management Llc | New York | NY | 10/2025 | Present |
| Lpl Financial Llc | New York | NY | 11/2025 | Present |
1- 11/2025 / DM Asset Management LLC. / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 2- 11/2025 / DM Asset Management LLC. / Author / Investment Related / 20 hrs mth / 20 hrs during trading/ Start date: 10/06/2025
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-04-08 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-22 |
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