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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2021-02-01 |
| AZ | RA | APPROVED | 2018-02-14 |
| AR | RA | APPROVED | 2018-02-14 |
| CO | RA | APPROVED | 2018-02-14 |
| GA | RA | APPROVED | 2018-02-14 |
| IL | RA | APPROVED | 2018-02-14 |
| IN | RA | APPROVED | 2018-02-14 |
| LA | RA | APPROVED | 2018-02-14 |
| MI | RA | APPROVED | 2018-02-14 |
| MN | RA | APPROVED | 2018-02-14 |
| MO | RA | APPROVED | 2018-02-14 |
| NC | RA | APPROVED | 2018-02-14 |
| TX | RA | APPROVED_RES | 2018-02-14 |
| WA | RA | APPROVED | 2018-02-14 |
| WI | RA | APPROVED | 2018-02-14 |
Branch Locations
55 W 94Th Pl, Crown Point, IN 46307 • United States
11030 96Th Pl, St. John, IN 46373 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sii Investments, Inc. | Crown Point | IN | 04/2010 | 02/2018 |
| Lpl Financial Llc | Crown Point | IN | 02/2018 | Present |
1. 02/14/2018 - OAK PARTNERS INC. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 02/14/2018 - No Business Name - Investment Related - Non-Variable Insurance - REPRESENTATIVE OFFERING FIXED INSURANCE PRODUCTS - Term and Index Universal Life. 3. 8/20/2018 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-Practice Acquisition Promissory Note - Started 03/01/2016 - 160 Hours Per Month/6 Hours During Securities Trading - Entered agreement with former NPH adviser (Alfredo C. Ruiz) to purchase the rights and privileges of his advisory practice in March of 2016.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-06-03 |
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