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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-22 |
| IL | RA | APPROVED | 2017-11-29 |
| MO | RA | APPROVED | 2017-11-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | O'FAllon | IL | 10/2007 | 11/2017 |
| Lpl Financial Llc | O'FAllon | IL | 11/2017 | Present |
1. 11/29/2017 - GATEWAY FOR TEACHERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 9/24/2007 - 73 Hours Per Month/55 During Securities Trading. 2. 11/29/2017 - FMI, Finacial Markets Inc - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 2011 - 10 Hours Per Month/10 During Securities Trading - Time Spent - Insurance, LIFE, Health, LTC, Fixed - Sales. 3. 11/29/2017 - GATEWAY FINANCIAL RESOURCES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 9/24/2007 - 55 Hours Per Month/42 During Securities Trading. 4. 12/6/2018 - Wall Street Advisors - Not Investment Related - 779 Wall Street, O'Fallon, IL 62269 - Other-Rental Property Group - Started 11/19/2018 - 0 Hours Per Month - Group is purchasing property.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-13 |
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