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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2025-06-12 |
| OH | RA | APPROVED | 2018-08-29 |
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 |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Cincinnati | OH | 02/1997 | 08/2018 |
| Various Insurance Carriers For W&R Insurance Agencies | Cincinnati | OH | 03/1997 | 08/2018 |
| Sgf Associates, Llc | Fairfield | OH | 04/2014 | Present |
| Lplfinancial Llc | Cincinnati | OH | 08/2018 | Present |
1)8/23/18- SGF Associates Wealth Management -DBA for LPL Business (entity for LPL business)- Inv. Related- Cincinnati, OH- 160hrs/mth - 100% 2)8/23/18- SGF Associates LLC- Business Entity For Tax/Investment Purposes Only- Inv. Related - Cincinnati, OH- start dat 1/1/2013- 100% 3)8/23/18- Notary - Inv. Related- Cincinnati, OH- start date 10/01/2004- 1% 4) 10/16/2018 - SGF Associates, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date:10/11/2018 - 4 Hours Per Month/1 Hours During Trading. 5) 3/25/2019 - Luna's Rentals, LLC - Investment Related - Cincinnati, OH 45202 - Real Estate Rental - Started 03/21/2019 - 1 Hours Per Month/0 Hours During Securities Trading - Condo. 6) 6/14/2019 - Associates of Clifton Park (AOCP) - Investment Related - At Reported Business Location(s) - Insurance Agency - Start Date 05/28/2019 - 4 Hours Per Month/1 Hour During Securities Trading - Long Term Care business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-09-05 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-26 |
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