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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2022-04-14 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Broomall | PA | 11/2009 | Present |
(1) 01/26/2016 * APM Financial LLC * Business Entity For Tax/Investment Purposes Only * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 01/01/2016 * 10 HRS/MO DURING SECS TRDG HRS. (2) 9/19/2017 - APM Property Management LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start 10/01/2017 - 1 Hour Per Month During Securities Trading - Managing without pay 3 rental properties for mother. These properties have been family owned for years. (3) 7/10/2018 - APM One - Investment Related - Brookhaven, PA - Real Estate Rental - Start Date:06/28/2018 - 1 Hours Per Month/1 Hours During Trading. (4) 9/21/2018 - APM Financial LLC - Investment Related - At Reported Business Location(s) & Home Based - Non-Variable Insurance - Started 01/01/2016 - 10 Hours Per Month During Securities Trading. (5) 6/10/2021 - Independent Advisor Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/01/2021 - 16 Hours Per Month During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-04-13 |
| S63 | Uniform Securities Agent State Law Examination | 2010-08-10 |
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