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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2020-05-04 |
| TX | RA | APPROVED_RES | 2020-04-28 |
Branch Locations
116 Village Blvd Ste 200 Princeton Forrestal Village, Princeton, NJ 08540 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Princeton | NJ | 09/2014 | 04/2020 |
| Lpl Financial, Llc | Princeton | NJ | 04/2020 | Present |
1. 4/28/2020 - Gladstone Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 4/15/2020 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 4/28/2020 - Growing Stars, Inc. - Not Investment Related - 4695 Chabot Dr., Suite 200, Park Plaza, Pleasanton, CA 94588 - Business Entity For Tax/Investment Purposes Only - Started 01/01/2004 - 8 Hours Per Month/0 Hours During Securities Trading - Time Spent 5% - Business owner for Online Tutoring Services.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 2010-07-14 |
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