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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2023-11-13 |
| WI | RA | APPROVED | 2023-11-13 |
| TX | RA | APPROVED_RES | 2019-04-03 |
| AL | RA | APPROVED | 2018-02-14 |
| CA | RA | APPROVED | 2018-02-14 |
| ID | RA | APPROVED | 2018-02-14 |
| IL | RA | APPROVED | 2018-02-14 |
| IA | RA | APPROVED | 2018-02-14 |
| KS | RA | APPROVED | 2018-02-14 |
| MO | RA | APPROVED | 2018-02-14 |
| NE | RA | APPROVED | 2018-02-14 |
| NV | RA | APPROVED | 2018-02-14 |
| NC | RA | APPROVED | 2018-02-14 |
| OH | RA | APPROVED | 2018-02-14 |
| SD | RA | APPROVED | 2018-02-14 |
Branch Locations
3950 38Th Avenue, Moline, IL 61265 • United States
21 W Jefferson St Ste 102, Waterloo, IA 50701 • United States
1510 Sw Vintage Pkway Ste 230, Ankeny, IA 50023 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Des Moines | IA | 11/2014 | 09/2016 |
| Bank Of America, N.A. | Des Moines | IA | 01/2015 | 09/2016 |
| Deere Employees Credit Union | Moline | IL | 09/2016 | Present |
| Invest Financial Corporation | Tampa | FL | 09/2016 | 02/2018 |
| Lpl Financial Llc | Waterloo | IA | 02/2018 | Present |
1. 05/01/2023 - Empeople Credit Union - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL - Start Date 04/01/2023 - 160 Hours Per Month/160 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 2010-04-01 |
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