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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-03-18 |
| IA | RA | APPROVED | 2020-05-12 |
Branch Locations
3600 1St Avenue Ne, Suite 100, Cedar Rapids, IA 52402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Carpenters Local 308 | Cedar Rapids | IA | 04/2015 | 03/2020 |
| Lpl Financial Llc | Cedar Rapids | IA | 03/2020 | Present |
1)04/28/2020 - Premier Investments of Iowa - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 03/2020 2) 1/29/2021 - Premier Financial Companies - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/09/2020 - 60 Hours Per Month During Securities Trading - Life and health. 3) 04/29/2022 - College Football Officials Organization - Not Investment Related - College football fields throughout the United States - Outside/W-2 Employment - Football Official - Start Date: 08/02/2021 - 15 Hours Per Month/3 Hours During Securities Trading. 4) 04/29/2022 - No Business Name - Not Investment Related - High school football fields in Iowa - Outside/W-2 Employment - Football Official for the IAHSAA - Start Date: 08/28/2020 - 15 Hours Per Month/3 Hours During Securities Trading. 5) 2/10/2023 - Premier Investments and Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/19/2023 - 160 Hours Per Month/8 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-05-11 |
| S65 | Uniform Investment Adviser Law Examination | 2014-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-11 |
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