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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2013-07-18 |
| CO | RA | APPROVED | 2011-07-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Denver | CO | 07/2011 | Present |
1. 10/17/2012: NON-VARIABLE INSURANCE TRAILS ONLY - I SERVICE OUR PRIOR BOOKS OF BUSINESS THROUGH NEW YORK LIFE'S ADVANCED MARKETS NETWORK. MY CODE WITH THE ADVANCED MARKETS NETWORK IS 115438. THIS IS THE ONLY METHOD WE HAVE FOUND TO SERVICE THESE PRIOR BOOKS. NOT SERVICEABLE THROUGH LPL - TIME SPENT 10% - DENVER, CO 2. 03/13/2018 - No Business Name - Investment Related - Other - Seminars - Start Date 03/01/2018 - 3 Hours Per Month/0 Hours During Securities Trading. 3. 8/8/2018 - No Business Name - Not Investment Related - At Reported Business Location(s) - Other-E-Commerce - Start Date:08/10/2018 - 5 Hours Per Month/0 Hours During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-29 |
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