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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2019-06-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self Employed | Madison | CA | 09/1990 | Present |
| Invest Financial Corp | Tampa | FL | 07/2010 | 02/2018 |
| Lpl Financial Llc | Madison | CT | 02/2018 | Present |
1. 02/14/2018 - Life Brokerage Financial Group - Investment Related - Non-Variable Insurance - Insurance Agent - Health, Medicare, Life. 2. 02/14/2018 - Bloomfield Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 03/04/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - start date:10/04/2010 - 30 hrs/mo - 20 hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 1994-10-14 |
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