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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-07-21 |
| WI | RA | APPROVED | 2021-07-21 |
Branch Locations
W240 N1221 Pewaukee Rd Ste A, B, D & E, Waukesha, WI 53188 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc. | Waukesha | WI | 11/1998 | 07/2021 |
| Various Insurance Carriers For W & R Insurance Agencies | Brookfield | WI | 12/1998 | 07/2021 |
| Kaplan Financial | Chicago | IL | 04/2007 | 05/2017 |
| Waukesha County Business Alliance | Waukesha | WI | 03/2015 | 10/2018 |
| Waukesha Ymca | Waukesah | WI | 05/2017 | 10/2018 |
| Waukesha County Business Alliance | Waukesha | WA | 03/2018 | 08/2018 |
| Waukesha County Business Alliance | Waukesha | WI | 04/2015 | 11/2016 |
| Lpl Financial, Llc | Waukesha | WI | 07/2021 | Present |
1. 10/19/2021 - WDR Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 11/2/2021 - Crump / Associates of Clifton Park - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/28/2021 - 2 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-23 |
| S63 | Uniform Securities Agent State Law Examination | 1980-08-29 |
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