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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PR | RA | APPROVED | 2022-05-18 |
Branch Locations
7 Calle Tabonuco Ste 103, Guaynabo, PR 00968 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Capital One Investing, Llc | Aspen Hill | MD | 08/2015 | 05/2017 |
| Capital One Advisors, Llc | Aspen Hill | MD | 08/2015 | 05/2017 |
| Compass Bank | Birmingham | AL | 06/2017 | 06/2017 |
| Bbva Securities Inc | Denver | CO | 06/2017 | 06/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Boulder | CO | 07/2017 | 04/2018 |
| Bank Of America, N.A. | Boulder | CO | 07/2017 | 04/2018 |
| Bancwest Investment Services | Arvada | CO | 05/2018 | 04/2019 |
| Bank Of The West | Arvada | CO | 05/2018 | 04/2019 |
| Cuna Mutual Group | Waverly | IA | 04/2019 | Present |
| Cuna Brokerage Services, Inc. | Waverly | IA | 04/2019 | Present |
| Lpl Financial Llc | Guaynabo | PR | 05/2022 | Present |
1)05/18/2022 - PenFed Wealth Management-Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2)05/18/2022 - No Business Name -Investment Related - San Juan, PR- Non-Variable Insurance - Start Date- 2022- 96 Hours Per Month/96 Hours During Securities Trading - Time Spent 60% 3)05/18/2022 - No Business Name - Investment Related - Frederick, CO 80516-9764 - Real Estate Rental - Owner/Landlord - Start Date - 4/2019 - 0 Hours Per Month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-08-20 |
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