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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2017-08-08 |
Branch Locations
370 W Camino Gardens Ste 101, Boca Raton, FL 33432 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Edward Jones | St Louis | MO | 02/2007 | 07/2017 |
| Lpl Financial Llc | Boca Raton | FL | 07/2017 | Present |
| Private Wealth Llc | Ponte Vedra Beach | FL | 02/2018 | 06/2018 |
1)7/24/17- Compass Financial Group- DBA for LPL Business (entity for LPL business)- Inv. Related- Jacksonville, FL - 50%. 2) 10/9/2017 - Private Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/25/2017 - 160 Hours Per Month/8 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-03-15 |
| S63 | Uniform Securities Agent State Law Examination | 2005-12-07 |
| S65 | Uniform Investment Adviser Law Examination | 1999-11-09 |
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