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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-01-09 |
| LA | RA | APPROVED | 2004-02-23 |
Branch Locations
4611 Bluebonnet Blvd, Ste A, Baton Rouge, LA 70809 • United States
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 |
|---|---|---|---|---|
| Lpl Financial, Llc | Baton Rouge | LA | 09/2003 | Present |
1. 05/21/2004 - FERRARA FINANCIAL, LLC - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 2. 05/13/2005: NON-VARIABLE INSURANCE - INSURANCE. - BATON ROUGE, LA. 3. 02/08/2006 - Lee, Dougherty & Ferrara Investment Management - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business) 4. 12/16/2010: REAL ESTATE RENTAL - G-4 PROPERTIES - ONE OFFICE CONDO. - 2% OF TIME - BATON ROUGE, LA. 5. 10/31/2012: NON-VARIABLE INSURANCE - LDF INSURANCE AGENCY, LLC - SELL INSURANCE. - TIME SPENT 5% - BATON ROUGE, LA. 6. 12/23/2016 - Ferrara Holdings, LLC - Investment Related - Baton Rouge, LA - Real Estate Rental - Started 11/25/2013 - 1 Hour Per Month/0 Hours During Securities Trading - Residential real estate. 7. 5/24/2018 - LDFwealth Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:05/15/2018 - 1 Hour(s) Per Month/0 Hour(s) During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-02-18 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-22 |
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