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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-21 |
| CO | RA | APPROVED | 2021-07-21 |
| CT | RA | APPROVED | 2021-07-21 |
| DC | RA | APPROVED | 2021-07-21 |
| ID | RA | APPROVED | 2021-07-21 |
| LA | RA | APPROVED | 2021-07-21 |
| MI | RA | APPROVED | 2021-07-21 |
| MO | RA | APPROVED | 2021-07-21 |
| MT | RA | APPROVED | 2021-07-21 |
| NE | RA | APPROVED | 2021-07-21 |
| NV | RA | APPROVED | 2021-07-21 |
| NJ | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED_RES | 2021-07-21 |
| UT | RA | APPROVED | 2021-07-21 |
| VA | RA | APPROVED | 2021-07-21 |
| WA | RA | APPROVED | 2021-07-21 |
| WY | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed Inc | Rock Springs | WY | 12/2009 | 07/2021 |
| Various Insurance Carriers For W&R Insurance Agencies | Rock Springs | WY | 06/2010 | 07/2021 |
| Moosely Hot Shot | Rock Springs | WY | 06/2008 | 12/2017 |
| United Way Of Southwest Wyoming | Rock Springs | WY | 06/2012 | 05/2021 |
| Rotary Of Rock Springs, Wy | Rock Springs | WY | 08/2013 | 07/2021 |
| Ken Fortuna Llc | Rock Springs | WY | 01/2015 | 07/2021 |
| 21St Century Community Learning Center | Rock Springs | WY | 04/2016 | 07/2021 |
| Moosely Hot Shot | Rock Springs | WY | 06/2008 | 12/2017 |
| Rocks Springs City | Rock Springs | WY | 04/2019 | 07/2021 |
| Tuna Holdings Llc | Rock Springs | WY | 03/2021 | 07/2021 |
| Lpl Financial Llc | Rock Springs | WY | 07/2021 | Present |
1) 7/28/2021- ANVIL WEALTH- DBA for LPL Business (entity for LPL business)- inv. related- ROCK SPRINGS, WY 2) 4/12/2021- Tuna Holdings, LLC- Real Estate Rental- owner- inv. related -1003 Winchester Blvd, Rock Springs Wy 82901- 1hr/mth 3) 12/22/2014- Ken Fortuna LLC- Business Entity For Tax/Investment Purposes Only- owner- non-inv. related- Rock Springs , WY - 0hrs/mth 4) 7/2021- Andrew Forturna- Non-Variable Insurance- inv. related- Rock Springs , WY 5) 03/01/2022 - Alpha Contracting Link-AST - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date - 03/01/2022 - 1 Hours Per Month/0 Hours During Securities Trading. 6) 12/05/2022 - NexAnnuity - Ohio State Life Insurance Company - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 11/07/2022 - 1 Hours Per Month/1 Hours During Securities Trading 7) 12/19/2022 - Mutual of Omaha - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 12/25/2022 - 1 Hour Per Month/1 Hour During Securities Trading. 8) 12/28/2022 - Associates of Clifton Park - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 12/25/2022 - 1 Hour Per Month/1 Hour During Securities Trading. 9) 1/18/2023 - Crump Life Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 01/12/2023 - 1 Hours Per Month/1 Hours During Securities Trading 10) 05/05/2023 - No Business Name - Investment Related - Gilbert, AZ - Real Estate Rental - Start Date 06/01/2023 - 1 Hours Per Month/1 Hours During Securities Trading 11) 06/12/2024 - Cigna - Non-Variable Insurance - Financial Advisor - Investment Related - At Reported Business Location(s) - Start Date 05/25/2024 - 1 Hour Per Month/ During Trading 12) 11/22/2024 - Red Desert Properties LLC- Real Estate Rental - Inv. Related- Rock Springs WY - start date 11/15/2024 - 1 hr mth/ 0 hrs trading 13) 01/28/2026 - Chubb - Insurance Company of America - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 01/20/2026 - 1 hour per month/ 0 hours during trading 14) 03/18/2026 - North American Co For Life And Health Ins. - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 03/09/2026 - 1 hour per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-05-20 |
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