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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-10-22 |
| NC | RA | APPROVED | 2010-05-13 |
Branch Locations
7000 Harps Mill Rd Ste 103, Raleigh, NC 27615-3241 • United States
Raleigh, NC • 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 | Raleigh | NC | 05/2010 | Present |
(1) 11/26/2010 - DBA ONLY - COMPASS FINANCIAL GROUP - RALEIGH, NC (2) 10/16/2012 - REAL ESTATE RENTAL - WE HAVE PURCHASED A TOWNHOUSE AND ARE RENTING IT TO OUR DAUGHTER AND HER HUSBAND - 5% OF TIEM SPENT - RALEIGH, NC (3) 8/10/2017 - Compass Financial Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/31/2017 - 8 Hours Per Month/5 Hours During Securities Trading - Fixed insurance. (4) 8/24/2018 - CFG Propertgies of NC - Investment Related - 7000 Harps Mill Rd. Suite 103 Raleigh, NC 27615 - Real Estate Rental - Start Date:08/31/2018 - 3 Hours Per Month/2 Hours During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-05-12 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-05 |
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