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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2024-01-18 |
| TX | RA | APPROVED_RES | 2024-01-18 |
Branch Locations
5982 Westside Saginaw Rd, Bay City, MI 48706 • United States
319 Lake St., Roscommon, MI 48653 • United States
213 East Main St., Gaylord, MI 49735 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Saginaw | MI | 03/2013 | 02/2017 |
| The Huntington Investment Company | Saginaw | MI | 02/2017 | 03/2018 |
| Tcf National Bank | Bay City | MI | 03/2018 | 06/2022 |
| Cetera Investment Services Llc | St.CLoud | MN | 03/2018 | 06/2022 |
| Cetera Investment Advisors Llc | Bay City | MI | 05/2018 | 06/2022 |
| Raymond James Financial Services Inc | Bay City | MI | 06/2022 | 01/2024 |
| Raymond James Financial Services Advisors | Bay City | MI | 06/2022 | 01/2024 |
| Maier And Associates | Bay City | MI | 05/2022 | Present |
| Lpl Financial Llc | Bay City | MI | 01/2024 | Present |
1)12/14/2023 - Maier & Associates Financial Group. Inc. - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 05/2022 - 130 Hr/Mth 2)12/14/2023 - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 05/2022 - 20 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 2015-07-09 |
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