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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2024-11-01 |
| TX | RA | APPROVED_RES | 2021-03-22 |
| IL | RA | APPROVED | 2017-11-29 |
| KS | RA | APPROVED | 2017-11-29 |
| MO | RA | APPROVED | 2017-11-29 |
| OH | RA | APPROVED | 2017-11-29 |
| PA | RA | APPROVED | 2017-11-29 |
Branch Locations
3451 St Albans Road Suite C, Saint Albans, MO 63073 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Saint Albans | MO | 11/2017 | Present |
| National Planning Corporation | Saint Albans | MO | 11/2011 | 11/2017 |
1. 11/29/2017 - EUREKA HIGH SCHOOL FOOTBALL - Not Investment Related - 4525 HWY 109, EUREKA, MO 6325 - Other - ASSISTANT COACH/VOLUNTEER - Start Date 06/04/13 - 30 Hours Per Month/10 During Securities Trading. 2. 11/29/2017 - RESOURCE ONE ADVISORS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 11/23/2011 - 24 Hours Per Month/12 During Securities Trading. 3. 01/30/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 01/16/2018 - 1 Hour Per Month/1 Hour During Securities Trading - Other-Heath Savings Account. 4. 12/5/2018 - Wall Street Advisors LLC - Not Investment Related - 779 Wall Street, O'Fallon, IL 62269 - Other-Building Purchase agreement - Started 11/19/2018 - 0 Hours Per Month - LLC was created to purchase an office building. 5. 04/02/2019 - Herzog Event Speaker - Not investment related - Herzog Event Speaker - start date:03/25/2019 - 4 hrs/mo - 0 hrs during trading. 6. 07/23/2024 - EUREKA HIGH SCHOOL FOOTBALL - ASSISTANT COACH - Not Investment Related - 4525 Hwy 109, Eureka, MO 63025 - Start Date 08/12/2024 - 7 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 2012-01-12 |
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