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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-01-04 |
| PA | RA | APPROVED | 2017-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pnc Investments, Llc | Erie | PA | 01/2016 | 09/2017 |
| Lpl Financial Llc | Erie | PA | 10/2017 | Present |
| Northwest Bank | Erie | PA | 10/2017 | Present |
1. 9/6/2019 - Broker Service Marketing Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 10/09/2017 - 1 Hour Per Month During Securities Trading. 2. 2/11/2020 - Northwest Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/1/2020 - 160 Hours Per Month/160 Hours During Securities Trading. 3. 5/11/2021 - Northwest Bank - Not Investment Related - At Reported Business Location(s) - Financial Institution Duty - Start Date: 5/11/2021 - 5 Hours Per Month/0 Hours During Securities Trading - Referring to bank partners.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-05-23 |
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