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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2021-08-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 05/2013 | 08/2018 |
| Northwestern Mutual Investment Services, Llc | Birmingham | AL | 11/2013 | 08/2018 |
| Northwestern Mutual Investment Services, Llc | Irondale | AL | 11/2014 | 08/2018 |
| Kyle Williams | Birmingham | AL | 06/2015 | 08/2018 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 03/2016 | 08/2018 |
| Berk Cleveland Rathmell Wealth Strategies, Llc | Vestavia | AL | 08/2018 | 08/2021 |
| Lpl Financial, Llc | Birmingham | AL | 08/2021 | Present |
1. 8/30/2021 - SPOTMINE INC - Investment Related - 1130 UNIVERSITY BLVD SUITE B9 PMB 233 TUSCALOOSA AL 35401 - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - Started 06/30/2017 - Spotmine, Inc. does not generate revenue. The purpose of the corporation is to serve as a holding company. 2. 8/30/2021 - Fi Plan Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-12-02 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-15 |
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