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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2008-06-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Leominster | MA | 05/2008 | Present |
1. 5/6/2008 - ROLLSTONE FINANCIAL SERVICES - INV REL - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 2. 6/23/2009 - NON-VARIABLE INSURANCE DBA - ROLLSTONE FINANCIAL SERVICES - MAY REPRESENT SBLI LIFE INSURANCE AND FIXED ANNUITIES OUTSIDE OF LPL RELATIONSHIP. - TIME SPENT 1%. 3. 7/9/2009 - ROLLSTONE BANK AND TRUST - TRUST OFFICER FOR ROLLSTONE BANK AND TRUST. RESPONSIBLE FOR BUSINESS DEVELOPMENT AND WILL SERVE AS INVESTMENT OFFICER TO PERFORM INVESTMENT REVIEWS ONLY. I WILL NOT WILL NOT MAKE ANY INVESTMENTS FOR CLIENTS. CONGRESS ASSETT MANAGEMENT WILL INVEST. - TIME SPENT 10%. 4. 12/13/2018 - Rollstone Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/01/2019 - 170 Hours Per Month/130 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-10-30 |
| S65 | Uniform Investment Adviser Law Examination | 1996-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-19 |
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