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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2019-08-29 |
| OH | RA | APPROVED | 2019-08-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nationwide Securities, Llc | Fountain Inn | SC | 08/2008 | 07/2019 |
| Lpl Financial Llc | Simpsonville | SC | 08/2019 | Present |
1. 8/1/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Started 07/18/2019 - 20 Hours Per Month/1 Hour During Securities Trading - Time Spent 5%. 2. 8/1/2019 - MFG Upstate - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/18/2019 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 95%. 3. 02/23/2022 - MFG Tax Service - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date - 01/01/2022 - 5 Hours Per Month/ 0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 1995-05-01 |
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