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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-01-15 |
| IA | RA | APPROVED | 2018-11-08 |
Branch Locations
12701 University Ave, Clive, IA 50325 • United States
1185 Se University Ave, Waukee, IA 50263 • United States
401 Main St, Guthrie Center, IA 50115 • United States
804 Greenwood Hills Drive, Adel, IA 50003 • United States
804 Greenwood Hills Dr, Adel, IA 50003 • United States
116 West State Street, Jefferson, IA 50129 • 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 |
|---|---|---|---|---|
| John Hancock Life Insurance Co | West Des Moines | IA | 06/1996 | 10/2018 |
| Signator Investors, Inc. | Boston | MA | 06/1996 | 10/2018 |
| Lpl Financial, Llc | Waukee | IA | 11/2018 | Present |
1. 11/1/2018 - PEOPLES FINANCIAL CENTER - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 3/16/2021 - Peoples Financial Center - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Insurance Broker - Started 03/01/2021 - 2 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1997-03-03 |
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