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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2009-03-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Houston | TX | 03/2009 | Present |
1. 03/06/2009 - WALL STREET TEXAS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 11/28/2022 - Regia Investments, Inc - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/01/2022 - 40 Hours Per Month/40 Hours During Securities Trading 3. 11/28/2022 - CSV Interests, Inc - Non-Inv related - Houston, TX - Business Entity For Tax/Investment Purposes Only - Started: 6/1/2022 - 4 Hrs/Mo; 0 Hrs During Trading. 4. 01/30/2024 - CSV Properties, LLC - Inv related - Houston, TX - Real Estate Rental - Started: 4/15/2021 - 24 Hrs/mo; 0 Hr During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-12-10 |
| S63 | Uniform Securities Agent State Law Examination | 1996-03-12 |
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