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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2024-01-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Ft. Thomas | KY | 02/2010 | Present |
1. 02/04/2010: West Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 2/20/2018 - No Business Name - Investment Related - At Reported Business Location - Other-Notary - Start Date:2/14/2018 - 1 Hour Per Month/0 Hours During Trading. 3. 2/14/2019 - Kidney Associates - Investment Related - 20 North Grand Ave, Suite 2 - Real Estate Rental - Started 05/01/2018 - 2 Hours Per Month/0 Hours During Securities Trading - Leasing to Kidney Associates.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-28 |
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