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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-04-07 |
| IA | RA | APPROVED | 2015-08-19 |
Branch Locations
6165 Nw 86Th St, Johnston, IA 50131 • United States
Kellogg, IA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Des Moines | IA | 08/2008 | Present |
(1) 03/04/2015 - NON-VARIABLE INSURANCE - TIME SPENT 5 HOURS PER MONTH - DES MOINES, IA (2) 08/21/2015 - FARM - NOT INV REL - 2510 E 92 ST S NEWTON, IA 50208 - START 09/15/2015 - 10 HRS/MO NOT DURING SECS TRDG HRS. (3) 06/22/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 05/20/2022 - 1 Hours Per Month/ 0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-18 |
| S63 | Uniform Securities Agent State Law Examination | 2009-07-22 |
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