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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-11-04 |
Branch Locations
8506 W Deer Valley Rd Ste 100, Peoria, AZ 85382 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Niagara University | Niagara Falls | NY | 08/2016 | 05/2017 |
| Arrowhead Legends Golf Club | Glendale | AZ | 05/2017 | 08/2017 |
| Niagara University | Niagara Falls | NJ | 08/2017 | 05/2018 |
| Ups | Niagara Falls | NY | 03/2018 | 08/2018 |
| State University Of New York College At Oswego | Oswego | NY | 08/2018 | 05/2019 |
| Independent Wealth Management | Peoria | AZ | 05/2019 | 08/2019 |
| State University Of New York College At Oswego | Oswego | NY | 08/2019 | 05/2020 |
| State University Of New York College At Oswego | Oswego | NY | 08/2019 | 05/2020 |
| Unemployed | Peoria | AZ | 05/2020 | 08/2020 |
| Independent Wealth Management | Peoria | AZ | 08/2020 | 07/2022 |
| Mcfadden's Bar And Grill | Glendale | AZ | 01/2021 | 04/2021 |
| Ae Wealth Management, Llc | Topeka | KS | 02/2022 | 07/2022 |
| Lpl Financial, Llc | Peoria | AZ | 07/2022 | Present |
1.07/21/2022; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Rock Martin Private Wealth Management /; Investment Related; at Reported Business Location(s); Start Date 07/20/2022; hrs/mth; hrs during trading 2.05/19/2026; Phoenix Jr Coyotes; Coach/ Sports/ Fitness; Not Investment Related; Scottsdale,AZ; Start Date 05/18/2026; 16hrs/mth; 0hrs during trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-10-28 |
| S65 | Uniform Investment Adviser Law Examination | 2021-12-21 |
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