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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2020-11-30 |
Branch Locations
235 Us Highway 22 Ste 6, Green Brook, NJ 08812-1917 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Green Brook | NJ | 10/2014 | 11/2020 |
| Raymond James Financial Services Advisors Inc. | Green Brook | NJ | 11/2014 | 11/2020 |
| Sweatt & Walters Assc Llc | Green Brook | NJ | 10/1985 | Present |
| Lpl Financial, Llc | Green Brook | NJ | 11/2020 | Present |
1) 2020 - DBA for LPL Business (entity for LPL business) - SWEATT & WALTERS - Investment Related - Green Brook, NJ 08812 2) 1982 - Non-Variable Insurance - Sweatt & Walters Associates, LLC - Investment Related - Green Brook, NJ 08812 3) 1985 - DBA for LPL Business (entity for LPL business) - SWEATT & WALTERS ASSOC, LLC - Investment Related - Green Brook, NJ 08812 4) 5/11/2021 - Mark Z. Walters & Associates, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/12/2021 - 15 Hours Per Month/3 Hours During Securities Trading. 5) 5/19/2021 - Mark Z. Walters & Associates, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/12/2021 - 15 Hours Per Month/5 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 1986-08-11 |
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