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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2021-10-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cambridge Investment Research, Inc. | Fairfield | IA | 01/2016 | 10/2021 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 09/2016 | 10/2021 |
| Lpl Financial, Llc | Cincinnati | OH | 10/2021 | Present |
1) 10/11/2021: JARRED SMITH, LLC; Cincinnati, OH; Business Entity For Tax/Investment Purposes Only; Not Inv. related; start date 6/2016. 2) 10/11/2021: West Side Financial Services; At reported business location(s); DBA for LPL Business (entity for LPL business); Inv. related. 3) 10/11/2021: Vitalize Insurance Agency; At reported business location(s); Non-Variable Insurance; Inv. related; start date 9/2018; 20hrs/mo.; 1hr during trading. 4) 10/4/2023: Craft Burger Bros; Cincinnati, OH; Other - Food Truck; Part owner; Not inv. related; start date 7/11/2022; 0hrs/mo. during trading. 5) 10/4/2023: Arion Racing; Cincinnati, OH; Other - Horse Racing; Part owner; Not inv. related; start date 3/1/2023; 0hrs/mo. during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-05-03 |
| S63 | Uniform Securities Agent State Law Examination | 2015-03-20 |
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