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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 | 2018-08-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Cincinnati | OH | 04/1996 | 08/2018 |
| Various Insurance Carriers For W & R Insurance Agencies | Cincinnati | OH | 06/1996 | 08/2018 |
| Shelly M Fogel, Cdfa | Fairfield | OH | 12/2009 | 08/2018 |
| Sgf Associates Llc | Fairfield | OH | 04/2014 | Present |
| Separation Advisors Llc | Fairfield | OH | 12/2009 | 08/2018 |
| Lpl Financial 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 - 1%. 3) 3/27/2019 - Luna's Rentals, LLC - Investment Related - Cincinnati, OH 45202 - Real Estate Rental - Started 03/20/2019 - 1 Hours Per Month During Securities Trading. 4. 06/25/2019 - Associates of Clifton Park - Investment Related - At Reported Business Location(s) - Insurance Agency - Partner & Wealth Advisor - Start Date: 06/04/2019 - 1 Hour Per Month/1 Hour During Securities Trading - LTC sales and support.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-09-05 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-07 |
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