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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2023-06-30 |
Branch Locations
830 E Front St #300, Traverse City, MI 49686 • United States
4707 Executive Dr, San Diego, CA 92121-3091 • United States
830 E Front St #300, Traverse City, MI 49686 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Vozza Insurance Agency | Traverse City | MI | 03/2010 | Present |
| Drago Construction Services | Traverse City | MI | 11/2004 | Present |
| Sterne Agee Financial Services, Inc. | Traverse City | MI | 09/2014 | 09/2016 |
| Sterne Agee Investment Advisor Services, Inc. | Birmingham | AL | 01/2015 | 09/2016 |
| Sigma Financial Corporation | Ann Arbor | MI | 09/2016 | 06/2023 |
| Spc | Ann Arbor | MI | 09/2016 | 06/2023 |
| Lpl Financial Llc | Traverse City | MI | 06/2023 | Present |
1. 06/30/2023 - VIA Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 07/24/2023 - Drago Construction Services LLC - Not Investment Related - Home Based - BUSINESS OWNER - President and contractor - Start Date 11/01/2004 - 5 Hours Per Month - Time Spent 5% 3. 07/24/2023 - Vozza Insurance Agency LLC - Investment Related - At Reported Business Location(s) - Insurance Agency - President and Producer - Start Date 02/01/2010 - 80 Hours Per Month/ 4 Hours During Trading - Time Spent 45%
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-06-09 |
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