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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2016-06-13 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Lancaster | PA | 06/2016 | Present |
1. 11/26/2019 - Waterfront Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/03/2019 - 40 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-02-24 |
| S63 | Uniform Securities Agent State Law Examination | 1981-07-06 |
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