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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2024-11-07 |
| TX | RA | APPROVED | 2024-11-07 |
Branch Locations
7520 Beechmont Ave, Cincinnati, OH 45230 • United States
909 Wright'S Summit Parkway Suite 130, Ft Wright, KY 41011 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.J.B. Hilliard, W.L. Lyons, Llc | Ft. Mitchell | KY | 10/2014 | 04/2019 |
| Stifel Nicolaus & Co Inc | Covington | KY | 04/2019 | 11/2024 |
| Lpl Financial | Ft. Wright | KY | 11/2024 | Present |
1- 10/2024 / Financial Design Group / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 40 hrs during trading / At reported business location(s) 2- 10/2024 / 1880 Brokerage Group / Non-Variable Insurance / Investment Related / 5 hrs mth / 5 hrs during trading / Toledo, OH / Start date: 11/07/2024 3- 10/2024 / Dammert, LLC / Business Entity For Tax/Investment Purposes Only / Not Investment Related / Crestview Hills, KY / Start date: 09/02/2024 4- 12/06/2024 - Private Family Wealth LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/08/2024 - 20 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 2014-11-25 |
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