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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2011-11-09 |
| CA | RA | APPROVED | 2001-01-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Encino | CA | 01/2001 | Present |
| Physicians Accounting Management | Encino | CA | 03/2001 | Present |
1. 8/5/2002 - NON-VARIABLE INSURANCE DBA - PHYSICIANS FINANCIAL MANAGEMENT - ENCINO, CA. 2. 3/12/2007 - NON-VARIABLE INSURANCE - ROBERT KAPLAN FINANCIAL MANAGEMENT & INSURANCE SERVICES, INC. - I HAVE BEEN SELLING LIFE, HEALTH AND DISABILITY INSURANCE FOR 18 YEARS. WHEN I JOINED LPL IN 2001, I HAVE BEEN USING THE DBA NAME OF KAPLAN FINANCIAL. COMMISSIONS ARE PAID TO MY CORPORATION ROBERT KAPLAN FINANCIAL MANAGEMENT & INSURANCE SERVICES, INC. - TIME SPENT 80% - ENCINO, CA. 3. 3/12/2007 - DBA ONLY - KAPLAN FINANCIAL - TIME SPENT 80% - ENCINO, CA. 4. 1/26/2009 - PHYSICIAN PRACTICE MANAGEMENT GROUP - Investment Related - Tax Prep/Accounting/CPA. 5. 1/26/2009 - CPA/BOOKKEEPER/TAX PREPARER - PHYSICIANS ACCOUNTING MANAGEMENT - ACCOUNTING FIRM - TIME SPENT 50%. 6. 9/9/2021 - Kaplan Financial & Insurance Services, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/17/2018 - 160 Hours Per Month/160 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 1995-12-20 |
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