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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ND | RA | APPROVED | 2025-01-17 |
Branch Locations
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 |
|---|---|---|---|---|
| Investment Centers Of America, Inc. | Taylor | TX | 04/2005 | 11/2017 |
| Lpl Financial Llc | Bismarck | ND | 11/2017 | Present |
| Dovetail Wealth Management | Lakeport | ND | 07/2018 | 12/2024 |
1. 7/31/2018 - Dovetail Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date: 07/11/2018 - 40 Hours Per Month/10 Hours During Securities Trading - I provide administrative services through Dovetail Wealth Management, an independent investment advisor firm. I started this business activity on 7/31/2018. I expect to spend approximately 40 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 2. 8/15/2018 - Dovetail Wealth Management - DBA: Dovetail Wealth Management LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 07/11/2018 - 40 Hours Per Month/10 Hours During Securities Trading 3. 06/15/2023 - Investment Center Advisor Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 05/31/2023 - 10 Hours Per Month/ 0 Hours During Securities Trading 4. 06/15/2023 - Maynerich Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 01/02/2018 - 15 Hours Per Month/ 0 Hours During Securities Trading 5. 06/22/2023 - ND Dept of Trust Lands - Not Investment Related - 1707 N 9th Street, Bismarck ND 58501 - Outside/W-2 Employment - Investment Operations Officer - Start Date 05/01/2023 - 40 Hours Per Month/ 40 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-30 |
| S63 | Uniform Securities Agent State Law Examination | 1997-01-14 |
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