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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-02-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Clearing Services | St Louis | MO | 07/2017 | 09/2019 |
| Wells Fargo Clearing Services | Saint Louis | MO | 05/2014 | 03/2018 |
| Mason City National Bank | Mason City | IL | 09/2019 | Present |
| Lpl Financial Llc | Mason City | IL | 02/2021 | Present |
1) 5/5/2021 - Mason City National Bank - DBA: MCNB Investment Services LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 2/22/2021 - 40 Hours Per Month/40 Hours During Securities Trading. 2) 05/12/2022 - No Business Name- Investment Related - At Reported Business Location(s) - Notary Public - Notary - Start Date - 05/16/2022- 1 Hours Per Month/ 1 Hours During Securities Trading 3) 08/28/2023 - Mason City National Bank - Financial Institution Duty - Co-CEO - Investment Related - At Reported Business Location(s) - Start Date 09/16/2019 - 144 Hours Per Month/ 130 Hours During Trading 4) 09/21/2023 - Laflen-Cunningham Insurance and Investment Services LLC - Insurance Agency - Not Investment Related - At Reported Business Location(s) - Start Date 03/15/2022 - 4 Hours Per Month/ 2 Hours During Trading 5) 10/23/2024 - Mason City Bancorp, Inc. - For-Profit Board Member - Not investment Related - At Reported Business Location(s) - Start Date 10/019/2024 - 1 Hour Per Month/ 0 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-08-31 |
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