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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ID | RA | APPROVED | 2023-11-16 |
Branch Locations
2 disclosure categories 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 |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Syracuse | UT | 06/2010 | 11/2023 |
| Sherman Moser Investment Strategies Team | Syracuse | UT | 06/2011 | 08/2018 |
| Raymond James Financial Services Advisors Inc. | Syracuse | UT | 06/2010 | 11/2023 |
| Axis Investment Management Llc | Syracuse | UT | 01/2015 | Present |
| Kris Kelly Farms | Osgood | ID | 09/2017 | 10/2017 |
| Kelley And Sons Llc | Shelley | ID | 08/2018 | 10/2018 |
| Lpl Financial Llc | Downey | ID | 11/2023 | Present |
1) 10/31/2023 - Real Estate Rental - ID 83234 - Investment related - 1 Hour per month - Start date: 10/11/2021. 2) 10/30/2023 - Axis Investment Management LLC - Business Entity For Tax/Investment Purposes Only - owner - ID 83234 - Non investment related - 1 Hour per month - Start date: 01/01/2020. 3) 10/30/2023 - Real Estate Rental - ID 83234 - Investment related - 1 Hour per month - Start date: 10/11/2021. 4) 10/30/2023 - Moser Dairy/ Oliver Moser Dairy - Agriculture/Farming Position - Owner - small diary cattle operation - ID 83234 - Non investment related - 80 Hours per month - Start date: 07/19/2019. 5) 11/25/2023 - No Business Name - Inv Related - Downey, ID - Real Estate Rental - Start Date: 10/11/2021 - 1 Hr/Mo; 0 During Trading. 6) 11/20/2024 - Do you have a minute podcast- Other - Podcast - Co-creator - Not investment Related - YouTube and Apple Podcast - Start Date 08/01/2024 - 15 Hours Per Month/ 0 Hours During Trading 7) 11/11/2025 - Sentinel Advising LLC - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 12/01/2025 - 10 hours per month/ 5 hours during trading 8) 06/17/2026 - United American Insurance Company aka Globe Life - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 07/01/2026 - 20 hours per month/ 10 hours during trading 9) 07/06/2026 - Sentinel Advising Firm - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/26/2026 -20 hours per month/ 10 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 2004-11-24 |
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