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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2017-11-29 |
Branch Locations
202 E Water St, Decorah, IA 52101 • United States
126 Second Ave Se, Cresco, IA 52136 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Centers Of America, Inc. | Decorah | IA | 11/2014 | 11/2017 |
| Lpl Financial Llc | Decorah | IA | 11/2017 | Present |
1. 01/03/2018 - WEALTH MANAGEMENT SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 4/24/2019 - Decorah Bank and Trust Company - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Member, Trust Investment Committee - Start Date: 03/08/2019 - 1 Hour Per Month/1 Hour During Securities Trading - The Committee meets 2-5 times annually to review various asset allocation models and mutual funds. 3. 08/10/2022- Winneshiek County Community Foundation Committee- Not Investment Related- Decorah, Iowa - Non-Profit Board Member- Start Date- 06/15/2022- 1 Hours Per Month/ 0 Hours During Securities Trading 4. 08/14/2023 - Synchronize - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 12/05/2017 - 2 Hours Per Month/1 Hour During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-15 |
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