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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-10-04 |
| TX | RA | APPROVED | 1998-12-04 |
Branch Locations
1311 Live Oak Street, Commerce, TX 75428-2577 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Commerce | TX | 12/1998 | Present |
(1) 07/28/1999: NO BUSINESS NAME - ACT IN A FIDUCIARY CAPACITY - INV REL - AT REPORTED BUSINESS LOCATION(S) - MINDELL LEE AYER LIVING TRUST - ALTERNATE CO-TTEE - NO TIME SPENT (2) 07/28/1999: NO BUSINESS NAME - Act in a Fiduciary Capacity - INV REL - AT REPORTED BUSINESS LOCATION(S) - JOHN RUSSELL ARMSTRONG JR. TRUST, LANNETTE ARMSTRONG BEAVER TRUST, JOHN & NATLE ARMSTRONG GRANDCHILDREN'S TRUST, THE MINDELL LEE AYER IRRV. TRUST NO.1 - CO-TRUSTEE - 1% TIME SPENT (3) 11/13/2023: Commerce Rotorcraft, LLC - Non Inv Related - Commerce, TX - Business Entity For Tax/Investment Purposes Only - Start Date: 11/01/2023 - 1 Hr/Mo; 0 Hrs During Trading (3) 09/25/2006: Bois d' Arc Dixeland Band - Musician - NOT INV REL - AT REPORTED BUSINESS LOCATION(S) - I am a member of a 6-piece Dixieland Band. - 1% TIME SPENT (4) 12/04/2007: Commerce Live Oak Park, LLC - Real Estate Rental - INV REL - AT REPORTED BUSINESS LOCATION(S) - I established a new entity to acquire new property (instead of me personally) and construct a new office building that my DBA (AIS) will renet when I relocate my office in 08'. - 5% TIME SPENT (5) 09/18/2009: AIS Financial - Non-Variable Insurance DBA - AIS Financial - INV REL - AT REPORTED BUSINESS LOCATION(S) - Just SIMPLY dropping the "Services" from my previously approved (since 1998) dba name - 95% TIME SPENT (6) 11/23/2015: John Russell Armstrong Jr - Non-Variable Insurance - INV REL - START 05/17/1999 - 1311 Live Oak, Commerce, TX 75428 - Agent - 1 HR/MO, 1 DURING SECS TRDG HRS - Non-Variable Insurance (7) 01/04/2023 - Lone Star Jet Team - Not Investment Related - Home Based - Rep's Business - Start Date: 01/01/2023 - 1 Hour Per Month/0 Hours During Securities Trading - Own & fly classic jets at various events / air shows across the USA. (8) 11/22/2024 - Pence Financial Group or PFG - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/25/2024 - 170 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1995-05-17 |
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