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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2019-09-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Suntrust Investment Services, Inc | Hickory | NC | 09/2015 | 09/2018 |
| Suntrust Advisory Services, Llc | Hickory | NC | 10/2016 | 09/2018 |
| Sagepoint Financial, Inc. | Hickory | NC | 09/2018 | 09/2019 |
| Lpl Financial, Llc | Hickory | NC | 09/2019 | Present |
1) 09/16/2019 - Southeast Retirement Planners, Inc. - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) 2)09/16/2019 - Notary - State of NC - inv rel - at reported business location(s) - start: 11/2015 3) 6/1/2021 - No Business Name - Investment Related - Connelly Springs, NC - Real Estate Rental - Start Date: 5/26/2021 - 2 Hours Per Month/0 Hours During Securities Trading - Purchasing 1/2 interest in a single family dwelling with intent of renting it. 4) 8/25/2021 - No Business Name - Investment Related - Boone NC - Real Estate Rental - Start Date: 09/07/2021 - 4 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-28 |
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