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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-20 |
| CO | RA | APPROVED | 2024-04-01 |
Branch Locations
7035 Campus Drive Suite 901, Colorado Springs, CO 80920 • 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 |
|---|---|---|---|---|
| 7300 Wealth Management, Llc. | Monument | CO | 11/2013 | 03/2024 |
| Lpl Financial, Llc | Colorado Springs | CO | 04/2024 | Present |
1- 11/2023 / Office Rental / Real Estate Rental / Investment Related / Start Date: 05/01/2022 2- 11/2023 / Upstream Investment Partners / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 2008-10-23 |
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