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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-11-15 |
| MD | RA | APPROVED | 1996-09-23 |
Branch Locations
7230 Lee Deforest Dr Ste 203, Columbia, MD 21046-3249 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Baltimore | MD | 09/1996 | Present |
1. 3/25/2003 - NO BUSINESS NAME - TEACHER/INSTRUCTOR - NOT INV REL - AT REPORTED BUSINESS LOCATION - SEMINARS. 2. 4/21/2003 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - SELLING DISABILITY AND HEALTH INSURANCE. 3. 12/9/2011: DAY FINANCIAL GROUP, INC - NON-VARIABLE INSURANCE DBA - INV REL - AT REPORTED BUSINESS LOCATION - SELLING FIXED ANNUITIES, LONG TERM CARE AND LIFE INSURANCE. 4. 12/20/2012: DAY PROPERTIES LLC - Business Entity For Tax/Investment Purposes Only - INV REL - AT REPORTED BUSINESS LOCATION - Day Properties LLC was established when I bought the office condo space - even though the LLC files a tax return the income and expenses are zero. It is just a pass through entity - 0% TIME SPENT. 5. 5/15/2017 - DAY Financial Group, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 3/25/2003.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-07-05 |
| S65 | Uniform Investment Adviser Law Examination | 1994-03-23 |
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