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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-09-07 |
Branch Locations
7033 E Greenway Parkway Suite 130, Scottsdale, AZ 85254 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Umb | Scottsdale | AZ | 06/2016 | 04/2017 |
| Wells Fargo Clearing Services, Llc | Scottsdale | AZ | 04/2017 | 09/2021 |
| Lpl Financial, Llc | Scottsdale | AZ | 09/2021 | Present |
1. 9/2021 - DBA for LPL Business (entity for LPL business) - GPL Asset Management - Investment Related - Scottsdale, AZ 85258 2. 11/03/2021 - J1633 LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 11/02/2021 - 160 Hours Per Month/6 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-30 |
| S63 | Uniform Securities Agent State Law Examination | 2010-12-09 |
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