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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-06-10 |
| CO | RA | APPROVED | 2016-01-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Englewood | CO | 01/2016 | Present |
1. 01/04/2016 - Life, LTC, Disability Insurance - Non-Variable Insurance - 20% - Englewood, CO 2) 07/31/2017-Mountain Vista Wealth Management-Investment related- At reported business location(s) - DBA for LPL Business (entity for LPL business)- started 08/01/2017-Hours per month 160/ hours during trading 160 3) 08/01/2017 - Mountain Vista Wealth Advisors - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business)- started 08/01/2017 - 160 Hours per month during securities trading. 4) 09/21/2017- mvwealth-Investment related-At reported business location(s)-Insurance as it relates to client needs (Life LTC DI)-start 09/01/2017-Hours per month 40/hours during trading 40.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-01-28 |
| S63 | Uniform Securities Agent State Law Examination | 2008-04-18 |
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