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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-10-29 |
Branch Locations
1021 Lake Havasu Ave N Ste 102, Lake Havasu City, AZ 86403 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisor Networks Llc | El Segundo | CA | 01/2013 | 10/2018 |
| Lpl Financial, Llc | Lake Havasu City | AZ | 10/2018 | Present |
1. 10/29/2018 - JOHN MARSHALL AND ASSOCIATES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2010 - 160 Hours Per Month/6 Hours During Securities Trading - Time Spent 100%. 2. 2/14/2019 - Goldney Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/08/2019 - 180 Hours Per Month During Securities Trading. 3. 3/22/2019 - HSG Investment Center - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 03/08/2019 - 2 Hours Per Month/0 Hours During Securities Trading. 4. 11/07/2019 - Above Alpha Zulu LLC - Not investment related - 3550 Jamaica Blvd S Lake Havasu City, AZ 86406 - Business Entity For Tax/Investment Purposes Only - start date:11/11/2019 - 2 hrs/mo - 0 hrs during trading. 5. 08/21/2022 - Above eBiz LLC - Not Investment Related - Home Based - Business Owner - owner/manager - Start Date - 08/10/2022 - 5 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-15 |
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