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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-07-20 |
| TX | RA | APPROVED_RES | 2020-07-17 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prudential Investment Management Service | Newark | NJ | 06/1999 | 07/2020 |
| Investacorp,Inc. | Miami Lakes | FL | 11/1999 | 07/2020 |
| Investacorp Advisory Services Inc | Miami Lakes | FL | 03/2009 | 07/2020 |
| Lpl Financial Llc | Carlsbad | CA | 07/2020 | Present |
1) 6/1999 - DBA for LPL Business (entity for LPL business) - GFH Financial - Investment Related - Carlsbad, CA 92011 2) 08/21/2023 - outside fixed insurance - Investment Related - At Reportable Business Location - Non-Variable Insurance Agent - Start Date 08/16/2023 - 2 Hours Per Month 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-12-22 |
| S65 | Uniform Investment Adviser Law Examination | 1998-09-21 |
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