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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-05-18 |
Branch Locations
14881 Quorum Dr. Suite 125, Dallas, TX 75254 • United States
1400 Preston Rd, Ste 426, Plano, TX 75093 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mass Mutual Life Insurance Company | Dallas | TX | 07/2013 | 01/2017 |
| Mml Investors Services | Dallas | TX | 09/2013 | 01/2017 |
| American United Life | Dallas | TX | 02/2017 | 10/2019 |
| Oneamerica Securities | Dallas | TX | 02/2017 | 10/2019 |
| Sigma Financial Corporation | Ann Arbor | MI | 10/2019 | Present |
| Spc | Ann Arbor | MI | 10/2019 | Present |
| Lpl Financial Llc | Dallas | TX | 05/2023 | Present |
1. 05/18/2023 - Upstream Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 06/26/2023 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 4/17/2023 - 10 Hours Per Month/ 1 Hour During Securities Trading - Time Spent 10% 3. 06/26/2023 - Kirk J. and Oleta Morrison Irrevocable Family Trust - Investment Related - Home Based - Act in a Fiduciary Capacity - Co-Trustee - Start Date 2/1/2015 - 5 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2008-09-12 |
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