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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2025-05-08 |
| TX | RA | APPROVED_RES | 2025-05-08 |
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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Farmington Hills | MI | 11/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Farmington Hills | MI | 11/2016 | 05/2025 |
| Lpl Financial, Llc | Rochester | MI | 05/2025 | Present |
1)04/02/2025 - Upstream Investment Partners - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-10-08 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-22 |
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