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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-08-01 |
| TX | RA | APPROVED | 2023-08-01 |
Branch Locations
4703 Boardwalk Dr Bldg B Ste 1, Fort Collins, CO 80525 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Retirement & Estate Advisors Inc | Fort Collins | CO | 06/2014 | 08/2021 |
| The O. N. Equity Sales Company | Cincinnati | OH | 08/2014 | 08/2023 |
| Retirement & Estate Advisors Inc | Fort Collins | CO | 08/2021 | Present |
| Lpl Financial Llc | Fort Collins | CO | 07/2023 | 08/2023 |
| Lpl Financial Llc | Fort Collins | CO | 08/2023 | Present |
1) 7/2023 - RETIREMENT AND ESTATE ADVISORS - DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s) 2) 7/2023- James Fanning - Non-Variable Insurance - Agent selling Life Insurance, Long Term Care, Fixed Annuities - Inv. Related- Fort Collins, CO -start date 12/16/2019 -2hrs/mth 3) 7/2023- Retirement Asset Management LLC - Business Entity - Inv. related- Fort Collins, CO- start date 8/15/2021- 1hrs/mth 4) 7/2023- Retirement and Estate Advisors INC.- Insurance Agency- owner - Inv. Related- Fort Collins, CO - start date 6/7/2023- 1 hour per month 5) 11/13/2025 - JFanning Properties LLC - Real Estate Rental - Investment Related - At Reported Business Location(s) - Start Date 12/31/2024 - 1 hour per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-25 |
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