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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2024-02-06 |
Branch Locations
1932 Arlington Blvd Ste 100, Charlottesville, VA 22903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services, Llc | Charlottesville | VA | 01/2010 | 02/2017 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 05/2009 | 02/2017 |
| Northwestern Mutual Investment Services Llc | Charlottesvle | VA | 03/2014 | 02/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 07/2015 | 02/2017 |
| Massachusetts Mutual Life Insurance Company | Charlottesville | VA | 02/2017 | 02/2024 |
| Mml Investors Services, Llc | Charlottesville | VA | 03/2017 | 02/2024 |
| Lpl Financial | Charlottesville | VA | 02/2024 | Present |
1) 01/30/2024 - Bowen Financial Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 02/2024 - 160 Hr/Mth 2) 01/30/2024 - BUSINESS CONSULTING GROUP,LLC - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - At Reported Business Location(s) - Start: 04/2023 - 8 Hr/Mth 3) 07/09/2024 - Signal - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 06/20/2024 - 10 Hours per Month/ 1 Hour During Trading 4) 01/23/2025- Cavalier Associates (CIMS Insurance Agency, LLC)- Non-Variable Insurance- INV Realated- At Reported Business Location(s)- Start date 01/14/2025- 4 Hours Per Month- 1 Hour During Trading 5) 01/23/2025- Signal Advisors USA, Inc.- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 01/14/2025- 4 Hours Per Month- 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 2010-03-30 |
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