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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2023-10-12 |
Branch Locations
8860 Ladue Road Suite 230, St. Louis, MO 63124-2068 • United States
Lake St Louis, MO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Duncan Financial Management, Inc. | Fenton | MO | 01/2016 | 03/2018 |
| Kestra Investment Services, Llc | Ellisville | MO | 04/2019 | 09/2023 |
| Kestra Advisory Services, Llc | Ellisville | MO | 06/2018 | 09/2023 |
| Lpl Financial Llc | St. Louis | MO | 10/2023 | Present |
1) 10/2023 - Clayton Investment Associates / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 160 Hrs per month / 100% Time Spent 2) 10/2023 - SB CAPITAL MANAGEMENT LLC / Tax Prep / President/CEO / Inv. Related / St Louis, MO / Start date 10/05/2023 - 2 Hrs per month / 5% Time Spent 3) 02/23/2024 - Simplicity Group - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Started: 2/26/2024 - 1 Hr/Mo; 0 Hr During Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-08-27 |
| S65 | Uniform Investment Adviser Law Examination | 2016-03-17 |
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