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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-12-06 |
| LA | RA | APPROVED | 2022-12-05 |
Branch Locations
2601 South Street, Nacogdoches, TX 75961 • United States
1101 E Pinecrest Drive, Marshall, TX 75670 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
3000 New Boston Rd, Texarkana, TX 75501 • United States
800 Garrett Dr, Bossier City, LA 71111 • United States
9010 Ellerbe Rd, Sherveport, LA 71106 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services I Nc | Shreveport | LA | 12/2009 | 10/2016 |
| Infinex Investments, Inc | Meriden | CT | 10/2016 | Present |
| Lpl Financial Llc | Shreveport | LA | 11/2022 | Present |
| Cadence Bank | Shreveport | LA | 11/2022 | Present |
1) 11/25/2022 - Fidelity & Guaranty, Oceanview Life and Annuity - Non-Variable Insurance - offers: fixed annuity business, Highlands Capital - Investment related - Start date: 11/8/22. 2) 11/25/2022 - Cadence Investment Services - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 3) 02/27/2024 - Cadence Bank - Financial Institution Duty - Not Investment Related - At Reported Business Location(s) - Start Date 10/31/2016 - 1 Hour Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 2002-09-06 |
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