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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2026-05-07 |
Branch Locations
500 E. Rio Salado Pkwy Building 4, Floor 3, Tempe, AZ 85281 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | Tukwila | WA | 04/2016 | 08/2017 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Tukwila | WA | 04/2016 | 08/2017 |
| E*Trade Securities Llc | Seattle | WA | 08/2017 | 03/2018 |
| E*Trade Capital Management Llc | Seattle | WA | 08/2017 | 03/2018 |
| Raymond James Financial Services, Inc | Mesa | AZ | 03/2018 | 03/2025 |
| Raymond James Financial Services Advisors, Inc | Mesa | AZ | 05/2018 | 03/2025 |
| Raymond James & Associates, Inc. | Mesa | AZ | 07/2019 | 03/2025 |
| Northwestern Mutual Investment Services, Llc | Milwaukee | WI | 06/2025 | 10/2025 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2025 | 10/2025 |
| The Mom Project | Chicago | IL | 06/2025 | 10/2025 |
| Lpl Financial Llc | Tempe | AZ | 04/2026 | Present |
| Unemployed | Mesa | AZ | 10/2025 | 04/2026 |
1: 05/2026 - Aaron Richter - Artist/ Musician - Not Inv Related - 12 Hours/Month - 0 Hour During Trading - Mesa, AZ - OBA Start Date: 01/01/2023.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-03 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-09 |
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