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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2019-08-15 |
Branch Locations
3277 Fruitville Rd Bldg. F1, Sarasota, FL 34237 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc | Sarasota | FL | 10/2009 | 03/2017 |
| Mml Investors Services, Llc | Sarasota | FL | 04/2017 | 08/2019 |
| Lpl Financial Llc | Sarasota | FL | 08/2019 | Present |
1)08/13/2019 - THE INCOMPASS GROUP LLC - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 08/2019 - 160 hr/mth 2)08/13/2019 - THE INCOMPASS GROUP - Tax Prep/Accounting/CPA - inv rel - at reported business location(s) - start: 04/2013 3)08/13/2019 - Insurance Agent - Non-Variable Insurance - inv rel - at reported business location(s) - start: 06/2014 4. 09/10/2019 - No business name - DBA: OHM.ES - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:08/16/2019 - 0 hrs/mo - 0 hrs during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 2010-07-02 |
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