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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-02-13 |
| MO | RA | APPROVED | 2002-01-24 |
Branch Locations
16305 Swingley Ridge Rd Ste 210, Chesterfield, MO 63017 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | St. Louis | MO | 01/2002 | Present |
(1) 12/31/2001: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 5% Time Spent (2) 04/02/2012: CECU Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (3) 03/09/2016: No Business Name - Real Estate Rental - Investment Related - St Louis, MO and Fort Walton Beach, FL - Start 02/19/2016 - 0 Hr/Mo - vacation condo in FL, home residence in MO (4) 10/25/2016: No Business Name - Real Estate Rental - Investment Related - Fenton, MO - Start 03/01/2016 - 2 Hr/Mo; 0 Hour(s) During Securities Trading - Renting previous residence (5) 07/18/2022 - Sirius Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 12/23/2008 - 140 Hours Per Month/7 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-31 |
| S63 | Uniform Securities Agent State Law Examination | 1980-10-13 |
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