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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2025-01-23 |
Branch Locations
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 |
|---|---|---|---|---|
| First Allied Securities, Inc. | San Diego | CA | 06/2013 | 09/2022 |
| First Allied Advisory Services, Inc. | Chesterfield | MO | 06/2013 | 11/2020 |
| First Allied Advisory Services | Schaumburg | IL | 11/2020 | 01/2025 |
| Cetera Advisors Llc | Brunswick | GA | 09/2022 | 01/2025 |
| Lpl Financial Llc | Brunswick | GA | 01/2025 | Present |
1-01/2025 / Notary / Inv Rltd / 1 hrs mnth / start 01/04/2021 2- 02/12/2025 - Simms Investment Services LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/30/2025 - 160 hours per month/ 8 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 2005-07-14 |
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