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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-05-13 |
| MA | RA | APPROVED | 2018-10-23 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Franklin | MA | 01/2016 | Present |
| The Patriot Financial Group, Llc | Franklin | MA | 02/2016 | 10/2018 |
1. 1/29/2016: Plymouth Rental - Investment Related - 207 A1 Samoset Street, Plymouth, MA - Real Estate Rental - Started 08/25/2005 - 0 Hours Per Month - Time Spent 0% - My wife and I own a condo in Plymouth, MA that we rent out to one tenant. 2. 1/29/2016: Comprehensive Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/01/2015 - 100 Hours Per Month/5 Hours During Securities Trading - Time Spent 50%. 3. 8/28/2018 - Dean Bank - DBA: Comprehensive Wealth Planners at Dean Bank - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/01/2017 - 160 Hours Per Month/8 Hours During Securities Trading. 4. 1/5/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 1/1/2021 - 1 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 1999-02-04 |
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