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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2010-10-27 |
| MO | RA | APPROVED | 2010-06-24 |
Branch Locations
8860 Ladue Road Suite 230, St. Louis, MO 63124-2068 • United States
Kirkwood, MO • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | St. Louis | MO | 06/2010 | Present |
1. 05/26/2010 - ACT IN A FIDUCIARY CAPACITY, ONE OF THREE TRUSTEES OF THE SUTTER FAMILY INSURANCE TRUST. NO INVESTMENT ADVICE GIVEN. IT IS A GUARENTEED POILCY - 0% TIME SPENT 2. 07/14/2011 - CLAYTON INVESTMENT ADVISORS LLC - OTHER-ENTITY FOR TAX PURPOSES - LLC FOR TAX PURPOSES ONLY. 3. 07/14/2011 - CLAYTON INVESTMENT ASSOCIATES - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 4. 9/26/2013 - NO BUSINESS NAME - NOTERY - NON-COMPENSATED NOTARY FOR THE CONVENIENCE OF CLIENTS. - TIME SPENT 0% - ST. LOUIS, MO. 5. 3/3/2020 - Highland Capital, Lion Street - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 05/06/2019 - 5 Hours Per Month/2 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1997-03-21 |
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