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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-07 |
| CT | RA | APPROVED | 2004-05-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Cheshire | CT | 05/2004 | Present |
(1)05/21/2004 * DBA for LPL Business (entity for LPL business) * THE FINANCIAL ARCHITECT * INV REL * AT REPORTED BUSINESS LOCATION(S) (2) 04/28/2016* Non-Variable Insurance * INV REL * AT REPORTED BUSINESS LOCATION(S) * I am acting only as an agent for fixed insurance products and am not an owner of an agency or plan to partner with any one agency. Compensation is set as a independent producer. * START 06/18/2004 * 10 HRS/MO DURING SECS TRDG HRS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 1995-07-20 |
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