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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2019-10-01 |
Branch Locations
6530 W Campus Oval Ste 320, New Albany, OH 43054 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Maxwell Financial Management | New Albany | OH | 02/2017 | Present |
| Ariel Corporation | Akron | OH | 10/2015 | 01/2017 |
| Unemployed | Mount Vernon | OH | 01/2017 | 01/2017 |
| Fsc Securities Corp | Atlanta | GA | 02/2017 | 10/2019 |
| Lpl Financial Llc | New Albany | OH | 10/2019 | Present |
1. 10/1/2019 - Maxwell Financial Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/9/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Life Insurance Agent - Started 12/01/2020 - 2 Hours Per Month During Securities Trading. 3. 05/05/2022 - Universal Financial Consultants - Investment Related - At Reported Business Location(s) - Non-Variable Insurance -Life Insurance Agent - Start Date - 05/09/2022 - 5 Hours Per Month/4 Hours During Securities Trading. 4. 2/10/2023 - Russ Doup WOM LLC - Not Investment Related - Home Based - Other - Public Speaking - Public Speaker / Owner - Start Date - 01/01/2023 - 3 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-03-22 |
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