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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2014-05-06 |
| NM | RA | APPROVED | 2013-09-23 |
Branch Locations
121 S. Canal Street, Carlsbad, NM 88220 • United States
105 N. 6Th St., Artesia, NM 88210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Carlsbad | NM | 08/2013 | Present |
1. 4/4/2018 - Advocate Health LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 03/23/2018 - 3 Hours Per Month/1 Hour During Securities Trading. 2. 4/19/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 04/23/2018 - 1 Hour Per Month During Securities Trading - Sell Long Term Care Insurance. 3. 10/8/2019 - Advocate Health, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/25/2017 - 5 Hours Per Month/2 Hours During Securities Trading - Offer Medicare Advantage Plans, stand-alone prescription drug plans, Medicare supplement insurance plans, and other health plans. 4. 10/10/2019 - Carlsbad Medical Center Board of Trustee - Not Investment Related - Carlsbad Medical Center, 2430 W. Pierce St., Carlsbad, NM 88220 - For-Profit Board Member - Started 10/03/2019 - 1 Hour Per Month/0 Hours During Securities Trading - This is a community advisory board position for Carlsbad Medical Center, which is owned by Community Health Systems (CYH), not a Corporate Board of Directors position. 5. 8/18/2020 - Oakley & Irving Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/25/2014 - 10 Hours Per Month/5 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-09-04 |
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