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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2019-07-22 |
| TX | RA | APPROVED | 2019-07-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Royal Alliance Associates | Salt Lake City | UT | 01/2007 | 07/2019 |
| Lpl Financial | Ogden | UT | 07/2019 | Present |
1)10/2004 - Business Entity For Tax/Investment Purposes Only - Chips of the Rock, LLC - 1% - INVESTMENT RELATED - OGDEN, UT 84401 2)04/2007 - Non-Variable Insurance - JOHN TAYLOR JR. - 10% - INVESTMENT RELATED - OGDEN, UT 84401
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-05 |
| S63 | Uniform Securities Agent State Law Examination | 1994-04-28 |
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