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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2013-11-20 |
| TX | RA | APPROVED_RES | 2013-03-01 |
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 |
|---|---|---|---|---|
| Lpl Financial Llc | Denver | CO | 06/2009 | Present |
1. 12/14/2011 - FINRA PANEL / I WILL BE AN ARBIRTATORM SIT ON PANELS AND REVIEW CASES / 1% OF TIME SPENT. 2. 04/10/2014 - Legalshield - INV REL - Outside/W-2 Employment - 1% TIME SPENT - in the course of business I can sell identity theft insurance 3. 04/10/2014 - NO BUSINESS NAME - NOT INV REL - Notary - 1% TIME SPENT - Notary in the State of Colorado 4. 06/19/2014 - OTHER - RELIGIOUS PRODUCT - CREATED A PRODUCT FOR SALE. NOT INVOLVED IN THE DAY TO DAY OPERATIONS. - TIME SPENT 1% -DENVER, CO 5. 5/4/2020 - Zabarsky Advisor Group Inc. - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 05/15/2020 - 200 Hours Per Month/9 Hours During Securities Trading. 6. 6/4/2020 - termtext - Investment Related - At Reported Business Location(s) - Insurance Agency - Start Date: 07/01/2020 - 20 Hours Per Month/1 Hour During Securities Trading - Fixed insurance agency dealing with term insurance. 7. 11/20/2023 - Zabarsky Advisor Group - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 9/5/2023 - 3 Hr/Mo; 0 During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-07-22 |
| S63 | Uniform Securities Agent State Law Examination | 1995-06-16 |
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