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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-07-21 |
| TX | RA | APPROVED | 2021-07-21 |
| WA | RA | APPROVED | 2021-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc | Tacoma | WA | 06/2014 | 07/2021 |
| Various Insurance Carriers For W & R Insurance Agencies | Tacoma | WA | 11/2014 | 07/2021 |
| Executive Women International | Salt Lake City | UT | 09/2015 | 12/2018 |
| Tran Duong Llc | Tacoma | WA | 02/2019 | 07/2021 |
| Lpl Financial Llc | Tacoma | WA | 07/2021 | Present |
1) 2/18/2019- Tran Duong LLC- Business Entity For Tax/Investment Purposes Only- non-inv. related- Tacoma, WA- 25hrs/mth 2) 2/9/2023 - Stadium Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/31/2023 - 1 Hours Per Month/1 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-10-03 |
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