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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2017-12-14 |
| CA | RA | APPROVED | 2011-04-04 |
| TX | RA | APPROVED_RES | 2011-04-04 |
Branch Locations
2 disclosure categories 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 | Naples | FL | 04/2011 | Present |
1. 12/18/2012: BARBARA HORVATH - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 2/1/2013: BAUMGARTNER HORVATH WEALTH MANAGEMENT, INC. - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 3. 3/1/2013: HORVATH CAPITAL, INC. - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - TIME SPENT 5% - CORPORATE ACCOUNT FOR ACCOUNTING PURPOSES ONLY.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-30 |
| S65 | Uniform Investment Adviser Law Examination | 2003-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 1994-06-21 |
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