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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-07-19 |
| CO | RA | APPROVED | 2023-07-19 |
| CT | RA | APPROVED | 2023-07-19 |
| NE | RA | APPROVED | 2023-07-19 |
| NJ | RA | APPROVED | 2023-07-19 |
| NM | RA | APPROVED | 2023-07-19 |
| NY | RA | APPROVED | 2023-07-19 |
| TX | RA | APPROVED_RES | 2023-07-19 |
| UT | RA | APPROVED | 2023-07-19 |
| WY | RA | APPROVED | 2023-07-19 |
Branch Locations
9335 East County Line Road, Centennial, CO 80112-3539 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bmo Bank Na | Centennial | CO | 06/2013 | Present |
| Bancwest Investment Services | Centennial | CO | 08/2013 | 02/2023 |
| Lpl Financial Llc | Centennial | CO | 07/2023 | Present |
1. 05/15/2023 - Casas Homes LLC - Not Investment Related - Home Based - Business Owner - Start Date 07/05/2014 - 1 Hour Per Month/ 0 Hours During Securities Trading - Time Spent 1% 2. 05/15/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 3. 05/15/2023 - No Business Name - Investment Related - Home Based - Real Estate Rental - Start Date 07/05/2014 - 1 Hour Per Month/ 0 Hours During Securities Trading - Time Spent 1% 4. 06/29/2023 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - SVP Market Leader - Start Date 7/19/2023 5. 08/30/2024 - Tico Sports - Outside/W-2 Employment - Commentator - Not Investment Related - Start Date 08/25/2024 - 20 Hours Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-01-24 |
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