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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-03-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Houston | TX | 03/2007 | 11/2016 |
| Symphony Financial, Ltd. Co. | Houston | TX | 06/2016 | 11/2016 |
| Ameriprise Financial Services, Inc. | Houston | TX | 12/2016 | 03/2018 |
| Lpl Financial, Llc | Houston | TX | 03/2018 | Present |
1. 03/09/2018 - GOOSE CREEK FINANCIAL MANAGEMENT/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ HOUSTON, TX 2. 05/16/2024 - Other - FINRA Arbitrator - Not Investment Related - Houston, TX - Start Date 04/10/2024 - 1 Hour Per Month/ During Trading 3. 06/16/2026 - Goose Creek Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/26/2018 - 160 hours per month/ 6.5 hours during trading 4. 06/16/2026 - Notary - Investment Related - At Reported Business Location(s) - Start Date 03/05/2018 - 0 hours per month/ during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-08-03 |
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