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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2020-08-04 |
Branch Locations
2454 N Limestone St, Springfield, OH 45503 • United States
28 N Franklin St, Richwood, OH 43344 • United States
250 E 5Th Street, Marysville, OH 43040 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oscar'S Sports Bar & Grill | Vandalia | OH | 10/2007 | 01/2024 |
| Minster Bank | Minster | OH | 05/2014 | 08/2020 |
| Cetera Investment Services Llc | St. Cloud | MN | 06/2014 | 08/2020 |
| Cetera Investment Advisers Llc | Minster | OH | 06/2014 | 08/2020 |
| Lpl Financial Llc | Springfield | OH | 08/2020 | Present |
| The Richwood Banking Company | Springfield | OH | 08/2020 | Present |
1. 8/4/2020 - No Business Name - Not Investment Related - 3410 S Dayton Brandt Rd - OTHER-FARM - Started 08/01/2013 - 5 Hours Per Month During Securities Trading - Time Spent 2% - Business Owner of a corn and soybean farm. 2. 8/4/2020 - Richwood Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 01/30/2024 - Farm Service Agency - Non-Profit Board Member - Not Investment Related - 1330 N County Rd 25A, Troy, OH 45373 - Start Date 11/01/2024 - 8 Hours Per Month/ 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-07-11 |
| S63 | Uniform Securities Agent State Law Examination | 2009-02-24 |
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