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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2019-10-15 |
| CA | RA | APPROVED | 2008-03-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Tempe | AZ | 03/2008 | Present |
1. 4/30/2009 - NON-VARIABLE INSURANCE - VISTA FINANCIAL GROUP - MARKETING AND SALES OF FIXED INSURANCE PRODUCTS WHERE APPLICABLE AS PART OF THE FINANCIAL PLANNING PROCESS. - TIME SPENT 10% - TEMPE, AZ. 2. 11/29/2010 - NON-VARIABLE INSURANCE, ARIZONA LIFE & ANNUITY BROKERS - DEVELOP INSURANCE AGENCY FOR THE SALE OF NON-VARIABLE INSURANCE PRODUCTS. FOCUS ON ATTRACTING AND SUPPORTING AGENTS THAT SELL TERM, UNIVERSAL, WHOLE LIFE, HEALTH, LTC, DISABILITY, CANCER, AND TERMINAL ILLNESS INSURANCES, FIXED ANNUITIES & SPIA'S. - TIME SPENT 10% - TEMPE, AZ. 3. 6/13/2012 - NON-VARIABLE INSURANCE - K2 FINANCIAL PLANNING - MARKETING AND SALES OF FIXED INSURANCE PRODUCTS. - TIME SPENT 10% - TEMPE, AZ 4. 10/15/2012: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) / VISTA FINANCIAL GROUP / TEMPE, AZ.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-10-21 |
| S63 | Uniform Securities Agent State Law Examination | 1993-11-15 |
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