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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2020-08-03 |
| TX | RA | APPROVED | 2020-08-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securites, Inc | San Diego | CA | 12/2013 | 08/2020 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 12/2013 | 08/2020 |
| Lpl Financial Llc | Salina | KS | 08/2020 | Present |
1. 8/3/2020 - Personalized Financial Planning, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 6/15/2020. 2. 8/3/2020 - No Business Name - Not Investment Related - 200 S. 9th St. Salina, KS. 67401 - Other-Notary - Started 10/26/2011 - Strictly a duty of current employer. 3. 8/3/2020 - DEBAR LLC - Investment Related - 4680 W. Stimmel Rd. Salina, KS. 67401 - REAL ESTATE RENTAL - Started 7/1/2003 - Owner of Real Estate Rental. 4. 3/26/2021 - Personalized Financial Planning LLC (AKA for CA- Insurance Agency of PFP) - Investment Related - At Reported Business Location(s) - Insurance Agency - Started 08/03/2020 - 50 Hours Per Month During Securities Trading - Selling Life, Health, Disability, LTC, Fixed Annuities. 5. 11/5/2021 - DLJ Properties, LLC - Investment Related - 429 N OHIO STREET, SUITE 7 SALINA KS - Real Estate Rental - Started 06/15/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Owner of Real Estate Rental.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-07-26 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-15 |
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