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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-14 |
| KY | RA | APPROVED | 2011-01-14 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Louisville | KY | 01/2011 | Present |
1) 11/14/2017 - Tretter Financial Planning, LLC - Investment Related - 1448 Gardiner Lane, Ste 202 Louisville KY 40213 - DBA for LPL Business (entity for LPL business) - Start Date 11/03/2017 - 180 Hours Per Month / 160 Hours During Trading. 2) 9/16/2018 - Kaplan - Investment Related - Bellarmine University, 2001 Newburg Road, Louisville KY 40205 - Outside/W-2 Employment - CFP Instructor - Start Date: 09/14/2018 - 50 Hours Per Month/25 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 2006-04-20 |
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