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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-12-04 |
Branch Locations
7500 Rialto Blvd Ste 230 Bldg 1, Austin, TX 78735 • United States
1000 Heritage Center Cir #134, Round Rock, TX 78664 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Allied Securities Inc. | San Diego | CA | 11/2014 | 11/2020 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 11/2014 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 11/2020 |
| Lpl Financial, Llc | Austin | TX | 11/2020 | Present |
1) 11/2020 - DBA for LPL Business (entity for LPL business) - The Fox Alliance - Investment Related - 1% - Austin, TX 78749 2) 10/1994 - Non-Variable Insurance - James Baker - Investment Related - 8% - Austin, TX 78749 3) 11/30/2020 - WILBARGER CREEK MUNCIPAL UTILITY DISTRICT - Not Investment Related - 100 Congress Ave, Ste 1300, Austin, TX 78701 - Non-Profit Board Member - Started 01/01/2003 - 1 Hour Per Month During Securities Trading - Time Spent 1% - Assist in governing the MUD's activity Fbo participants within the District. 4) 08/31/2022 - No Business Name - Not Investment Related - Home Based - Other - Professional Life/Executive Coaching - Start Date - 09/01/2022 - Start Date - 2 Hours Per Month/15 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 1995-02-21 |
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