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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2023-07-03 |
| TX | RA | APPROVED | 2023-06-30 |
Branch Locations
6 Montgomery Village Ave #650, Gaithersburg, MD 20879 • United States
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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Bethesda | MD | 10/2009 | 06/2023 |
| Lpl Financial Llc | Gatlinburg | MD | 06/2023 | Present |
1) 06/30/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 6/30/2023 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 100%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-13 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-07 |
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