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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-26 |
| AZ | RA | APPROVED | 2021-03-24 |
Branch Locations
28215 N Tatum Blvd, Cave Creek, AZ 85331 • United States
1875 W Happy Valley Rd, Phoenix, AZ 85027 • United States
19828 N 27Th Ave, Phoenix, AZ 85027 • United States
4623 E Carefree Hwy, Cave Creek, AZ 85331 • United States
21911 N Scottsdale Road, Scottsdale, AZ 85255 • United States
303 N. Montezuma Street, Prescott, AZ 86301 • United States
2839 West Bell Road, Phoenix, AZ 85069 • United States
2010 West State Rte 89A, Sedona, AZ 86336 • United States
7221 E. Florentine Road, Prescott Valley, AZ 86314 • United States
Chandler, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bmo Harris | Scottsdale | AZ | 12/2015 | Present |
| Lpl Financial Llc | Scottsdale | AZ | 03/2021 | Present |
1. 08/06/2021 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-22 |
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