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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2025-09-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| E.K. Riley Investments | Seattle | WA | 01/2013 | 11/2020 |
| Prospera Financial Services Inc. | Dallas | TX | 12/2020 | 05/2021 |
| Lpl Financial, Llc | Seattle | WA | 05/2021 | 09/2023 |
| Lpl Financial Llc | Reno | NV | 06/2025 | Present |
| Washoe County Regional Parks & Open Space | Washoe County | NV | 08/2023 | 02/2024 |
| Reno Police Department | Reno | NV | 12/2023 | 06/2025 |
1) 2025-09-03 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - SEAPINE - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2025-08-20 - 160hrs/mth - 8hrs/mth during trading 2) 2026-05-06 - Washoe County Regional Parks and Open Space - Outside/W-2 Employment - N - Reno NV - 2026-05-04 - 32hrs/mth - 0hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-05-09 |
| S63 | Uniform Securities Agent State Law Examination | 2016-11-01 |
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