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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2018-11-09 |
| TX | RA | APPROVED_RES | 2018-11-09 |
Branch Locations
14143 Denver West Pkwy Ste 450, Golden, CO 80401 • United States
Westminster, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Broomfield | CO | 04/2004 | 11/2018 |
| Morgan Stanley Smith Barney | Broomfield | CO | 06/2009 | 11/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2018 |
| Lpl Financial Llc | Golden | CO | 11/2018 | Present |
1. 1/25/2019 - Annan Investment Management LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/31/2019 - 130 Hours Per Month/150 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-02-15 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-08 |
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