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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-05-05 |
| NY | RA | APPROVED | 2021-08-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Glen Falls | NY | 10/2011 | Present |
1. 10/18/2011 - SMITH WEALTH MANAGEMENT - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 2. 04/11/2019 - First American Insurance Underwriters - Investment related - At reported business location(s) - Non-Variable Insurance - start date:12/18/2018 - 2 hrs/mo - 1 hr during trading. 3.10/16/2025 - Structured Investor - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - Start date: 11/1/2025 - 40hrs/mnth during Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-04-07 |
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