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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2019-04-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Helene Robertson, Cfp National Planning Corporation | Seattle | WA | 09/2005 | 11/2017 |
| National Planning Corporation | Seattle | WA | 05/2007 | 11/2017 |
| Lpl Financial, Llc | Seattle | WA | 11/2017 | Present |
1. 5/6/2020 - Sanjay A. Das CFP LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 04/01/2020 - 1 Hour Per Month/0 Hour During Securities Trading. 2. 7/20/2021 - Hive Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 6/29/2021 - 177 Hours Per Month / 100 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-11 |
| S63 | Uniform Securities Agent State Law Examination | 2007-10-08 |
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