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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2014-01-22 |
| CO | RA | APPROVED | 2009-04-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Denver | CO | 04/2009 | Present |
1. 1/11/2010: VARGAS WEALTH MANAGEMENT, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 1/31/2022 - Vargas Wealth Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - 4 Hours Per Month During Securities Trading - Term life, permanent life, LTC. 3. 12/9/2022 - Vargas Wealth Ventures - Investment Related - At Reported Business Location(s) - Real Estate Rental - Registered Agent - Start Date - 10/24/2022 - 3 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 1995-11-21 |
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