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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2021-03-10 |
Branch Locations
420 Fort Duquesne Blvd One Gateway Center, Ste 2000, Pittsburgh, PA 15222 • United States
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 |
|---|---|---|---|---|
| The Monteverde Group | Pittsburgh | PA | 11/1970 | 03/2021 |
| Royal Alliance Associates, Inc | Pittsburgh | PA | 01/2016 | 03/2021 |
| Lpl Financial, Llc | Pittsburgh | PA | 03/2021 | Present |
1. 3/10/2021 - ECA Marketing - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - 10 Hours Per Month/1 Hour During Securities Trading - Time Spent 5% - Non-Variable Annuities. 2. 3/10/2021 - THE MONTEVERDE GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 200 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 3. 3/10/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - 50 Hours Per Month/2 Hours During Securities Trading - Time Spent 25% - Life, Health, Disability Income.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1983-07-20 |
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