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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-11-23 |
| VA | RA | APPROVED | 2020-11-23 |
Branch Locations
2309 Commonwealth Drive,, Charlottesville, VA 22901 • United States
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 |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 06/2014 | 11/2020 |
| Northwestern Mutual Investment Services Llc | Charlottesville | VA | 06/2014 | 11/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 05/2016 | 11/2020 |
| Lpl Financial, Llc | Stanardsville | VA | 11/2020 | Present |
| Waste Management, Inc. | Stanardsville | VA | 11/2020 | 08/2022 |
1. 11/23/2020 - Loni J. Conley - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2014 - 160 Hours Per Month/10 Hours During Securities Trading - Time Spent 100%. 2. 3/30/2021 - Woods and Waters Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 3/30/2021 - 200 Hours Per Month/200 Hours During Securities Trading. 3. 08/09/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 08/10/2021 - 160 Hours Per Month/160 Hours During Securities Trading - Provide insurance solutions for clients where they need them. 4. 10/26/2022 - No Business Name - Not Investment Related - Home Based - Other-Sale of Art Work - Start Date: 10/15/2022 - 4 Hours Per Month/0 Hours During Securities Trading - Selling sports memorabilia on Ebay. 5. 1/27/2023 - WWFG - Investment Related - Charlottesville VA 22901 - Real Estate Rental - Partner - Start Date - 01/25/2023 - 1 Hours Per Month/0 Hours During Securities Trading 6. 12/04/2024 - FFHolsten - Other - Re Sell Collectible Vintage Sports Cards o - Not investment Related - EBAY and Home Based - Start Date 10/15/2022 - 10 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 2014-09-23 |
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