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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-03-21 |
| RI | RA | APPROVED | 2023-12-08 |
Branch Locations
24 Salt Pond Rd Ste A6, Wakefield, RI 02879 • United States
24 Salt Pond Rd Ste A6, Wakefield, RI 02879 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Wakefield | RI | 09/2005 | 12/2023 |
| Lpl Financial, Llc | Wakefield | RI | 12/2023 | Present |
1) 09/14/2023 - Salt Pond Wealth Management, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 12/2023 - 160 Hr/Mth 2) 12/22/2023 - Salt Pond Wealth Management - Other - Notary Public - Investment Related - At Reported Business Location(s) - Start Date 11/24/2023 - 1 Hour Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-04-21 |
| S65 | Uniform Investment Adviser Law Examination | 1997-04-21 |
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