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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-11 |
| ND | RA | APPROVED | 2020-09-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Michael A Lucy American Family Insurance | Stanley | ND | 12/2014 | 11/2017 |
| Michael A Lucy American Family Insurance | Stanley | ND | 12/2014 | 11/2017 |
| Thrivent Investment Management Inc | Watford City | ND | 10/2017 | 08/2020 |
| Thrivent Financial | Appleton | WI | 11/2017 | 03/2018 |
| Thrivent Financial | Appleton | WI | 03/2018 | 08/2020 |
| Lpl Financial Llc | Watford City | ND | 08/2020 | Present |
1) 5/6/2021 - First International Bank and Trust - DBA: First International Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Representative - Start Date: 5/10/2021 - 2 Hours Per Month/2 Hours During Securities Trading. 2) 07/31/2024 - City of Watford City - Other - City Council - City Council Member - Not Investment Related - 213 2nd St NE, Watford City, ND 58854 - Start Date 06/01/2024 - 3 Hours Per Month/ 1 Hour During Trading 3) 12/05/2024 - Sixteen Three LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/27/2024 - 160 hours per month/ during trading 4) 12/27/2024 - FIRST INTERNATIONAL INVESTMENTS - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/20/2024 - 80 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-01-04 |
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