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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-02-26 |
| MO | RA | APPROVED | 2020-01-29 |
Branch Locations
202 Sw Market St, Lee'S Summit, MO 64063 • United States
San Diego, CA • 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 |
|---|---|---|---|---|
| Pruco Securities, Llc | Lee'S Summit | MO | 10/1981 | 01/2020 |
| Prudential Insurance Company Of America | Lee'S Summit | MO | 10/1981 | 01/2020 |
| Lpl Financial, Llc | Lee'S Summit | MO | 01/2020 | Present |
1. 2/21/2020 - Dynasty Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/27/2019 - 160 Hours Per Month/100 Hours During Securities Trading. 2. 5/15/2020 - Ash Brokerage - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Broker - Started 03/02/2020 - 1 Hour Per Month During Securities Trading. 3. 08/22/2024 - Dynasty Wealth Management - Insurance Agency - President - Investment Related - At Reported Business Location(s) - Start Date 08/21/2024 - 1 Hour Per Month/ 0 Hours During Trading 4. 03/23/2026 - Dynasty Financial, Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/18/2011 - 30 hours per month/ 10 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 1982-09-24 |
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